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Reasons for Decisions of Past Inquiry Hearing Cases
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| Category |
Adjudicated Date
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Matters Concerned
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Action Taken
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Appeal Lodged |
Appeal Result
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Reason for Decision(s) |
| Advertisements/ Promotional materials |
25/09/2017
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – issuing an advertisement concerning a first-hand residential development in her own capacity instead of in the capacity of an estate agency company
2. (same as above)
3. (same as above)
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1. Reprimand and fine $2,000
2. Reprimand and fine $2,000
3. Reprimand and fine $2,000
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Yes
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The decision of the Disciplinary Committee upheld. |
Click
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| Advertisements/ Promotional materials |
14/11/2017
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – issuing promotional materials in relation to the sale of certain properties which contained incorrect information
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Reprimand and fine $20,000
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No
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No
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Click
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| Advertisements/ Promotional materials |
17/11/2017
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – issuing an advertisement concerning a first-hand residential development in his own capacity instead of in the capacity of an estate agency company
2. (Same as above)
3. (Same as above)
4. (Same as above)
5. (Same as above)
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1. Reprimand and fine $2,000
2. Reprimand and fine $2,000
3. Reprimand and fine $2,000
4. Reprimand and fine $2,000
5. Reprimand and fine $2,000
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No
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No
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Click
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| Advertisements/ Promotional materials |
04/12/2017
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1. Breach of section 6(1) of the Practice Regulation – failure to enter into an estate agency agreement (Form 5) with the landlord within 7 working days after accepting an instruction to lease the residential property
2. Breach of section 9(1) of the Practice Regulation－causing or permitting to be issued an advertisement which included statement or particular that was false or misleading in a material particular
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1. Reprimand
2. Reprimand and fine $5,000
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No
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No
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Click
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| Advertisements/ Promotional materials |
31/01/2018
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Failure to comply with paragraph 3.2.1 of the Code of Ethics – issuing an advertisement concerning a first-hand residential development in the licensee's personal capacity instead of in the capacity of an estate agency company
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Reprimand and fine $2,000
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No
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No
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Click
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| Advertisements/ Promotional materials |
28/02/2018
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – issuing an advertisement concerning a first-hand residential development in the licensee's personal capacity instead of in the capacity of an estate agency company
2. (Same as above)
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1. Reprimand and fine $1,000
2. Reprimand and fine $1,000
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No
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No
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Click
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| Effective control of estate agency business |
24/08/2017
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Breach of section 15 of the Practice Regulation – failure to establish proper procedures or systems to supervise and manage his business of doing estate agency work to ensure that the person under his control complied with the provisions of the EAO - the person under the licensee's control offered or made a loan to a prospective purchaser of a first sale property
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Reprimand, fine $10,000, suspension of licence for 1 month (23/9/2017 – 22/10/2017) and attachment of a condition to the licence (specifying that licensee shall acquire 24 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Effective control of estate agency business |
08/02/2019
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering and/or making a loan to a purchaser of a first-hand property
2. Breach of section 15 of the Practice Regulation – failure to establish proper procedures or systems to supervise and manage its business of doing estate agency work to ensure that its employee complied with the provisions of the EAO - its employee offered and/or made a loan to a purchaser of a first-hand property
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1. Reprimand and fine $150,000
2. Reprimand and fine $150,000
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Yes
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The Appeal Tribunal determined that:
The Disciplinary Committee's decision to reprimand the licensee should remain unchanged while the total fine imposed should be varied to $250,000.
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Click
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| Effective control of estate agency business |
01/08/2019
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering and/or making a loan to a prospective purchaser of a first-hand residential property
2. Breach of section 15 of the Practice Regulation – failure to establish proper procedures or systems to supervise and manage its business of doing estate agency work to ensure that its employees complied with the provisions of the EAO - its employees offered and/or made a loan to a prospective purchaser of a first-hand residential property
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1. Reprimand and fine $50,000
2. Reprimand and fine $100,000
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No
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No
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Click
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| Estate Agency Agreements |
12/07/2017
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1. Breach of section 6(2) of the Practice Regulation – failure to enter into an estate agency agreement (Form 6) with the prospective tenant prior to arranging an inspection of a residential property
2. Breach of section 14(1)(b) of the Licensing Regulation – failure to state clearly and conspicuously on a receipt the number of his licence or the relevant Statement of Particulars of Business (SPOB) and the place of business as stated in the relevant SPOB
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1. Reprimand
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Estate Agency Agreements |
04/12/2017
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1. Breach of section 6(1) of the Practice Regulation – failure to enter into an estate agency agreement (Form 5) with the landlord within 7 working days after accepting an instruction to lease the residential property
2. Breach of section 9(1) of the Practice Regulation－causing or permitting to be issued an advertisement which included statement or particular that was false or misleading in a material particular
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1. Reprimand
2. Reprimand and fine $5,000
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No
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No
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Click
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| Estate Agency Agreements |
05/03/2018
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1. Failure to comply with paragraph 3.4.1 of the Code of Ethics – arranging for the prospective tenant to pay the deposits before the essential terms of the tenancy of the residential property concerned ("the Property") had been agreed upon by the transacting parties
2. Breach of section 6(2) of the Practice Regulation – failure to enter into an estate agency agreement (Form 6) with the prospective tenant prior to arranging an inspection of the Property
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1. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand
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No
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No
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Click
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| Estate Agency Agreements |
12/04/2019
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Breach of section 6(2) of the Practice Regulation – failure to enter into an estate agency agreement (Form 6) with the tenant prior to arranging an inspection of a residential property
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Reprimand and fine $5,000
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No
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No
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Click
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| Estate Agency Agreements |
16/10/2019
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Breach of section 6(1) of the Practice Regulation – failure to enter into an estate agency agreement (Form 3) with the vendor of a residential property within 7 days after receiving the instruction to sell it from the vendor
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Reprimand and fine $1,000
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No
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No
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Click
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| Failure to observe clients instructions/honour assurance |
18/10/2018
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics - providing incorrect mortgage information in respect of the property concerned ("the Property") to a prospective purchaser
2. Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to withhold the Property transaction according to the prospective purchaser’s instruction and/or failure to relay to the vendor the prospective purchaser’s request for withholding the Property transaction
3. Failure to comply with paragraph 3.7.2 of the Code of Ethics – in handling the sale and purchase transaction of the Property, the licensee advised the prospective purchaser to make false declaration in her mortgage application while knowing that the prospective purchaser would let out the Property
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1. Reprimand, fine $15,000, attachment of a condition to the licence (specifying that licensee shall acquire 4 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 6 weeks
2. Reprimand, fine $40,000, attachment of a condition to the licence (specifying that licensee shall acquire 8 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 10 weeks
3. Reprimand, fine $50,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 12 weeks
[With regard to paragraphs 1 to 3 above, the licensee's licence is suspended for a period of 14 weeks in total (17/11/2018 –22/2/2019)]
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Yes
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The Appeal Tribunal varied the decision of the Disciplinary Committee regarding the sanctions to:
1. Reprimand, fine $10,000 and attachment of a condition to the licence (specifying that licensee shall acquire 4 points under EAA's Continuing Professional Development Scheme)
2. Reprimand, fine $15,000, attachment of a condition to the licence (specifying that licensee shall acquire 8 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 4 weeks
3. Reprimand, fine $5,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 4 weeks
[With regard to paragraphs 2 and 3 above, the licensee's licence is suspended for a period of 4 weeks in total (27/4/2019 –24/5/2019)]
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Click
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| Lack of authorization |
06/06/2018
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1. Failure to comply with paragraph 3.4.1 of the Code of Ethics – misrepresenting to the purchaser that the staircase in the property concerned was approved by the relevant government authority, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to alert the purchaser to the risks involved in purchasing the property concerned which had unauthorized building works and/or failure to remind him to seek legal advice thereon before proceeding with the sale and purchase transaction
3. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to ensure that the representative had obtained the written authorization from the purchaser before arranging for the representative to sign the addendum to the provisional sale and purchase agreement in respect of the property concerned for and on behalf of the purchaser
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1. Unsubstantiated
2. Unsubstantiated
3. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Land search |
06/03/2019
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to inform the tenant that an order had been issued by the Building Authority (“the Order”) against the property concerned (“the Property”) and the Order had not been complied with, and/or advise the tenant on the risks involved in renting the Property, and/or advise the tenant to seek legal advice thereon before arranging for the tenant to sign the provisional tenancy agreement ("PTA")
2. Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to supply a copy of the land search to the tenant before arranging for the tenant to sign the PTA
3. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of the tenant which was a limited company to sign the PTA for and on its behalf, the licensee failed to append the chop of the tenant's company or alternatively had the words "For and on behalf of (the name of the tenant's company)" written against the representative's signature
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1. Reprimand, fine $3,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 3 months (6/4/2019 – 5/7/2019)
2. Reprimand, fine $3,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
3. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
[Having regard to the principle of totality, the licensee is required to acquire a total of 24 points under the Scheme.]
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No
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No
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Click
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| Land search |
02/09/2019
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Breach of section 13(4) of the Practice Regulation – failure to carry out a land search in the Land Registry in respect of a residential property and supply a copy of the land search to the purchaser immediately before a provisional agreement for sale and purchase of the property was entered into
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Reprimand, fine $3,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
20/06/2017
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – representing to the tenant and her family member that the estate agency company (for which the licensee was working) would not obtain commission from the landlord, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of a party which was a limited company to sign the tenancy agreement for and on its behalf, the licensee failed to ascribe the representative's name below the representative's signature and failed to append the chop of the limited company or alternatively had the words "For and on behalf of (the name of the limited company)" written against the representative's signature
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1. Reprimand, fine $2,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
28/09/2017
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – making a representation to the landlord that the tenancy agreement supplied by her to the landlord was a standard tenancy agreement provided by the Estate Agents Authority, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of a party which was a limited company to sign the provisional tenancy agreement for and on its behalf, the licensee failed to ascribe the representative's name below the representative's signature and failed to append the chop of the limited company or alternatively had the words "For and on behalf of (the name of the limited company)" written against the representative's signature
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1. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
[Having regard to the principle of totality, the licensee is required to acquire a total of 12 points under EAA's Continuing Professional Development Scheme.]
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
14/12/2017
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – representing to the tenant that the properties concerned could be used for the purpose of hair salon business, when in fact it was not true, and/or failure to remind the tenant to seek legal advice as to whether the properties could be used for the purpose of hair salon business prior to arranging for the tenant to sign the preliminary tenancy agreement
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Reprimand, fine $3,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
20/11/2017
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – making misrepresentations to the purchasers in relation to the mortgage of a first-hand residential property
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Reprimand, fine $5,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
09/02/2018
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – representing to the prospective purchasers that the toilet next to the property concerned formed part of the property, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of a party which was a limited company to sign the provisional agreement for sale and purchase for and on its behalf, the licensee failed to ascribe the representative's name below the representative's signature
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1. Unsubstantiated
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
02/05/2018
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1. Failure to comply with paragraph 3.5.1 of the Code of Ethics - failure to inform the tenant of a warning letter ("the Warning Letter") being registered in the Land Register of the property concerned, and/or failure to obtain a copy of the Warning Letter and provide to tenant with it, and/or failure to remind the tenant to seek legal/professional advice thereon before arranging the tenant's representative to sign the provisional tenancy agreement ("PTA")
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representatives of the transacting parties which were both limited companies to sign the PTA for and on their behalf, the licensee failed to ascribe the representatives' names below their signatures
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1. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
[Having regard to the principle of totality, the licensee is required to acquire a total of 12 points under the Scheme.]
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
03/07/2018
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1. Failure to comply with paragraph 3.4.1 of the Code of Ethics – in handling the leasing transaction of a shop, informing the tenant, without any proper basis, that the water supply was available in the shop, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – amending the term of the provisional tenancy agreement that the tenant had already signed without obtaining the tenant’s written consent or arranging for the tenant to sign against the amendment for confirmation
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1. Reprimand, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 7 days (4/8/2018 – 10/8/2018)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
27/07/2018
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to inform the tenant that an undischarged building order was found in the land search of the property concerned and/or failure to remind the tenant to seek legal advice on the risk thereof
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Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
28/08/2018
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Failure to comply with paragraph 3.2.2 of the Code of Ethics – failure to keep himself informed of the Eligibility Criteria under the Mortgage Insurance Programme before advising the purchaser that she could obtain from a bank a mortgage loan including the mortgage insurance part for a unit of the development concerned at a price of more than HK$6 million
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Reprimand, fine $8,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
18/10/2018
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics - providing incorrect mortgage information in respect of the property concerned ("the Property") to a prospective purchaser
2. Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to withhold the Property transaction according to the prospective purchaser’s instruction and/or failure to relay to the vendor the prospective purchaser’s request for withholding the Property transaction
3. Failure to comply with paragraph 3.7.2 of the Code of Ethics – in handling the sale and purchase transaction of the Property, the licensee advised the prospective purchaser to make false declaration in her mortgage application while knowing that the prospective purchaser would let out the Property
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1. Reprimand, fine $15,000, attachment of a condition to the licence (specifying that licensee shall acquire 4 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 6 weeks
2. Reprimand, fine $40,000, attachment of a condition to the licence (specifying that licensee shall acquire 8 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 10 weeks
3. Reprimand, fine $50,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 12 weeks
[With regard to paragraphs 1 to 3 above, the licensee's licence is suspended for a period of 14 weeks in total (17/11/2018 –22/2/2019)]
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Yes
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The Appeal Tribunal varied the decision of the Disciplinary Committee regarding the sanctions to:
1. Reprimand, fine $10,000 and attachment of a condition to the licence (specifying that licensee shall acquire 4 points under EAA's Continuing Professional Development Scheme)
2. Reprimand, fine $15,000, attachment of a condition to the licence (specifying that licensee shall acquire 8 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 4 weeks
3. Reprimand, fine $5,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 4 weeks
[With regard to paragraphs 2 and 3 above, the licensee's licence is suspended for a period of 4 weeks in total (27/4/2019 –24/5/2019)]
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
06/03/2019
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics - providing incorrect mortgage information in respect of the property concerned ("the Property") to a prospective purchaser
2. Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to withhold the Property transaction according to the prospective purchaser’s instruction and/or failure to relay to the vendor the prospective purchaser’s request for withholding the Property transaction
3. Failure to comply with paragraph 3.7.2 of the Code of Ethics – in handling the sale and purchase transaction of the Property, the licensee advised the prospective purchaser to make false declaration in her mortgage application while knowing that the prospective purchaser would let out the Property
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1. Reprimand, fine $3,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 3 months (6/4/2019 – 5/7/2019)
2. Reprimand, fine $3,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
3. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
[Having regard to the principle of totality, the licensee is required to acquire a total of 24 points under the Scheme.]
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
25/04/2019
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – representing to the vendor that he could collect the deposit within 3 weeks from the date he signed the provisional sale and purchase agreement of a residential property concerned when in fact it was not true, and/or he should not make a representation to the vendor regarding the release of deposit with a time frame stated therein
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Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
08/07/2019
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to inform the purchasers of the restriction with regard to the purchase of the car parking space and/or to advise the purchasers to seek legal advice thereon before arranging for them to enter into the provisional agreement for sale and purchase
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Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
|
Click
|
| Misrepresentation/ Inaccurate information/ Improper advice |
11/10/2019
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – when handling the transaction of a property of an uncompleted development situated outside Hong Kong, misrepresenting to the prospective purchaser that there would be a provision in the formal agreement for sale and purchase stipulating that the deposit paid would be stakeheld by the seller’s lawyer / held in trust before the prospective purchaser signed the reservation form for purchasing a unit in the development, when in fact it was not true
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Reprimand, fine $5,000 and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
|
No
|
No
|
Click
|
| Offering of incentives/rebates |
23/06/2017
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – failure to fulfill her promise to provide commission rebate to the purchaser
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Reprimand, fine $10,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 6 weeks (15/7/2017 – 25/8/2017)
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No
|
No
|
Click
|
| Offering of incentives/rebates |
16/05/2018
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – failure to fulfill his promise to provide commission rebate to the prospective purchasers
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Reprimand, fine $10,000, suspension of licence for 6 weeks (16/6/2018 – 27/7/2018) and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)]
|
No
|
No
|
Click
|
| Offering of incentives/rebates |
08/10/2018
|
1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – failure to fulfill his promise to provide commission rebate to the prospective purchasers and/or their relatives
2. (Same as above)
|
1. Reprimand, fine $100,000, attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 4 weeks
2. Reprimand, fine $100,000, attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 4 weeks
[With regard to paragraphs 1 and 2 above, the licensee's licence is suspended for a period of 4 weeks in total (3/11/2018 –30/11/2018)]
|
No
|
No
|
Click
|
| Offering of incentives/rebates |
03/07/2019
|
1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – failure to fulfill his promise of giving cash rebate to the purchaser
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to set out in writing the promise of cash rebate offered to the purchaser and stipulate clearly the terms and format thereof
|
1. Reprimand and fine $100,000
2. Reprimand and fine $3,000
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No
|
No
|
Click
|
| Offering of loan |
11/07/2017
|
Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering or making a loan to a prospective purchaser of a first sale property
|
Reprimand and fine $80,000
|
No
|
No
|
Click
|
| Offering of loan |
24/08/2017
|
Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering or making a loan to a prospective purchaser of a first sale property
|
Reprimand and fine $12,000
|
No
|
No
|
Click
|
| Offering of loan |
01/09/2017
|
Failure to comply with paragraph 3.2.1 of the Code of Ethics – making a loan to a prospective purchaser of a first sale property
|
Reprimand and fine $120,000
|
No
|
No
|
Click
|
| Offering of loan |
26/09/2017
|
Failure to comply with paragraph 3.2.1 of the Code of Ethics – making a loan to a prospective purchaser of a first sale property
|
Reprimand and fine $120,000
|
No
|
No
|
Click
|
| Offering of loan |
04/10/2017
|
Failure to comply with paragraph 3.2.1 of the Code of Ethics – making a loan to a prospective purchaser of a first sale property
|
Reprimand and fine $120,000
|
No
|
No
|
Click
|
| Offering of loan |
03/08/2018
|
Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering and/or making a loan to a prospective purchaser of the first-hand properties
|
Reprimand, fine $15,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 14 days (8/9/2018 – 21/9/2018)
|
No
|
No
|
Click
|
| Offering of loan |
20/08/2018
|
Failure to comply with paragraph 3.2.1 of the Code of Ethics – making a loan to prospective purchasers of the first-hand properties
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Reprimand and fine $250,000
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Yes
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The decision of the Disciplinary Committee upheld.
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Click
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| Offering of loan |
08/02/2019
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering and/or making a loan to a purchaser of a first-hand property
2. Breach of section 15 of the Practice Regulation – failure to establish proper procedures or systems to supervise and manage its business of doing estate agency work to ensure that its employee complied with the provisions of the EAO - its employee offered and/or made a loan to a purchaser of a first-hand property
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1. Reprimand and fine $150,000
2. Reprimand and fine $150,000
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Yes
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The Appeal Tribunal determined that:
The Disciplinary Committee's decision to reprimand the licensee should remain unchanged while the total fine imposed should be varied to $250,000.
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Click
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| Offering of loan |
01/08/2019
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Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering and/or making a loan to a prospective purchaser of a first-hand residential property
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Reprimand, fine $30,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 6 weeks (31/8/2019 – 11/10/2019)
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No
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No
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Click
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| Offering of loan |
21/11/2019
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Failure to comply with paragraph 3.2.1 of the Code of Ethics – offering and/or making a loan to the purchasers of a first-hand residential property
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Reprimand, fine $10,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 4 weeks (28/12/2019 – 24/1/2020)
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No
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No
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Click
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| Omission of licensees’ particulars |
12/07/2017
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1. Breach of section 6(2) of the Practice Regulation – failure to enter into an estate agency agreement (Form 6) with the prospective tenant prior to arranging an inspection of a residential property
2. Breach of section 14(1)(b) of the Licensing Regulation – failure to state clearly and conspicuously on a receipt the number of his licence or the relevant Statement of Particulars of Business (SPOB) and the place of business as stated in the relevant SPOB
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1. Reprimand
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Omission of licensees’ particulars |
09/11/2017
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1. Failure to comply with paragraph 3.5.1 of the Code of Ethics – informing the tenant of a leasing transaction of a shop that the shop was free from water leakage problem, when in fact it was not true
2. Failure to comply with paragraph 3.5.1 of the Code of Ethics – failure to provide the keys of the ladies toilet and the toilet for the disabled to the tenant as promised
3. Breach of section 14(1)(b) of the Licensing Regulation – failure to state clearly and conspicuously on a receipt issued by her the number of her licence or the relevant Statement of Particulars of Business ("SPOB") and the place of business as stated in the relevant SPOB
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1. Unsubstantiated
2. Unsubstantiated
3. Reprimand and fine $2,000
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No
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No
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Click
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| Omission of licensees’ particulars |
05/03/2018
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Breach of section 14(1)(b) of the Licensing Regulation – failure to state clearly and conspicuously on a receipt issued by her the number of her licence or the relevant Statement of Particulars of Business ("SPOB") and the place of business as stated in the SPOB
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Reprimand, fine $3,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
20/06/2017
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – representing to the tenant and her family member that the estate agency company (for which the licensee was working) would not obtain commission from the landlord, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of a party which was a limited company to sign the tenancy agreement for and on its behalf, the licensee failed to ascribe the representative's name below the representative's signature and failed to append the chop of the limited company or alternatively had the words "For and on behalf of (the name of the limited company)" written against the representative's signature
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1. Reprimand, fine $2,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
28/09/2017
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – making a representation to the landlord that the tenancy agreement supplied by her to the landlord was a standard tenancy agreement provided by the Estate Agents Authority, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of a party which was a limited company to sign the provisional tenancy agreement for and on its behalf, the licensee failed to ascribe the representative's name below the representative's signature and failed to append the chop of the limited company or alternatively had the words "For and on behalf of (the name of the limited company)" written against the representative's signature
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1. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
[Having regard to the principle of totality, the licensee is required to acquire a total of 12 points under EAA's Continuing Professional Development Scheme.]
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
12/01/2018
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to take proper steps to arrange for the tenant to initial against the amended term in the provisional tenancy agreement as confirmation
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Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
12/01/2018
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to ensure that the tenant had initialed against the amendment made by the landlord to the provisional tenancy agreement to signify its consent to the said amendment before releasing to the landlord the cheque for payment of the initial deposit
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Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
09/02/2018
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1. Failure to comply with paragraph 3.7.2 of the Code of Ethics – representing to the prospective purchasers that the toilet next to the property concerned formed part of the property, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of a party which was a limited company to sign the provisional agreement for sale and purchase for and on its behalf, the licensee failed to ascribe the representative's name below the representative's signature
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1. Unsubstantiated
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
05/03/2018
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1. Failure to comply with paragraph 3.4.1 of the Code of Ethics – arranging for the prospective tenant to pay the deposits before the essential terms of the tenancy of the residential property concerned ("the Property") had been agreed upon by the transacting parties
2. Breach of section 6(2) of the Practice Regulation – failure to enter into an estate agency agreement (Form 6) with the prospective tenant prior to arranging an inspection of the Property
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1. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
02/05/2018
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1. Failure to comply with paragraph 3.5.1 of the Code of Ethics - failure to inform the tenant of a warning letter ("the Warning Letter") being registered in the Land Register of the property concerned, and/or failure to obtain a copy of the Warning Letter and provide to tenant with it, and/or failure to remind the tenant to seek legal/professional advice thereon before arranging the tenant's representative to sign the provisional tenancy agreement ("PTA")
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representatives of the transacting parties which were both limited companies to sign the PTA for and on their behalf, the licensee failed to ascribe the representatives' names below their signatures
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1. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
[Having regard to the principle of totality, the licensee is required to acquire a total of 12 points under the Scheme.]
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
03/07/2018
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1. Failure to comply with paragraph 3.4.1 of the Code of Ethics – in handling the leasing transaction of a shop, informing the tenant, without any proper basis, that the water supply was available in the shop, when in fact it was not true
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – amending the term of the provisional tenancy agreement that the tenant had already signed without obtaining the tenant’s written consent or arranging for the tenant to sign against the amendment for confirmation
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1. Reprimand, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 7 days (4/8/2018 – 10/8/2018)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
06/03/2019
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Failure1. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to inform the tenant that an order had been issued by the Building Authority (“the Order”) against the property concerned (“the Property”) and the Order had not been complied with, and/or advise the tenant on the risks involved in renting the Property, and/or advise the tenant to seek legal advice thereon before arranging for the tenant to sign the provisional tenancy agreement ("PTA")
2. Failure to comply with paragraph 3.4.1 of the Code of Ethics – failure to supply a copy of the land search to the tenant before arranging for the tenant to sign the PTA
3. Failure to comply with paragraph 3.2.1 of the Code of Ethics – when arranging for the representative of the tenant which was a limited company to sign the PTA for and on its behalf, the licensee failed to append the chop of the tenant's company or alternatively had the words "For and on behalf of (the name of the tenant's company)" written against the representative's signature
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1. Reprimand, fine $3,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 3 months (6/4/2019 – 5/7/2019)
2. Reprimand, fine $3,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
3. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
[Having regard to the principle of totality, the licensee is required to acquire a total of 24 points under the Scheme.]
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No
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No
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Click
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| Requirements for signing of sale and purchase/tenancy agreement |
05/12/2019
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics - arranging for the transacting party to sign the provisional agreement for sale and purchase ("PASP") with an essential term of the PASP left blank
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics - failure to specify in the PASP the total amount of commission payable by the transacting party in the event of the party's default before arranging for the party to sign the same
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1. Reprimand, fine $2,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme)
2. Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) [Having regard to the principle of totality, the licensee is required to acquire a total of 12 points under EAA's Continuing Professional Development Scheme.]
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No
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No
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Click
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| Unruly behavior |
01/12/2017
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – insulting a prospective purchaser of a property by sending WhatsApp messages which contained foul language
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Reprimand and suspension of licence for 21 days (6/1/2018 – 26/1/2018)
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No
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No
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Click
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| Unruly behavior |
21/09/2018
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – insulting Estate Agents Authority staff with foul language at a first-hand residential development
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Admonishment and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
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No
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No
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Click
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| Unruly behavior |
19/03/2019
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – attacking a staff member of the other estate agency company when promoting the sale of a first-hand residential development
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Reprimand, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 12 weeks (27/4/2019 – 19/7/2019)
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No
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No
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Click
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| Miscellaneous |
11/09/2018
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Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to give written notification to his employer who was involved in the sale and /or purchase of a development ("the Development") no later than the same day after the licensee had submitted for himself the registrations of intent (“RIs”) in the Development or before the closing time for the submission of RIs as regards the number of RIs and cashier orders the licensee had submitted |
Reprimand, fine $3,000 and attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) |
No
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No
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Click
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| Miscellaneous |
15/11/2018
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – in handling the leasing of a property, arranging the tenant to enter into a provisional tenancy agreement and tenancy agreement with a person who claimed himself the landlord of the property |
Reprimand, fine $5,000, attachment of a condition to the licence (specifying that licensee shall acquire 12 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 14 days (15/12/2018 – 28/12/2018) |
No
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No
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Click
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| Miscellaneous |
04/02/2019
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Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to wear Estate Agent card and/or staff card when promoting the sale of first-hand properties |
Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme) |
No
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No
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Click
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