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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 |
03/08/2020
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Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to state clearly and legibly in the property advertisements the date on which they were issued or updated
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Reprimand and fine $1,500
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No
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No
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Click
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| Advertisements/ Promotional materials |
02/09/2020
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1. Breach of section 9(2) of the Practice Regulation – failure to obtain the vendor's written consent prior to the issue of an advertisement in respect of a residential property ("the Property")
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to comply with the guidelines issued by the Estate Agents Authority when providing the floor area of the Property in an advertisement
3. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to state clearly and legibly the property number and the date on which it was issued or updated in an advertisement for a residential property
4. (Same as above)
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1. Reprimand, fine $500 and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
2. Reprimand, fine $500 and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
3. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
4. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 6 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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| Advertisements/ Promotional materials |
19/11/2020
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Breach of section 9(2) of the Practice Regulation – failure to obtain the vendor's written consent prior to the issue of an advertisement in respect of a residential property
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Reprimand and fine $14,000
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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 |
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 |
12/04/2019
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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 |
09/09/2020
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Failure to comply with paragraph 3.7.2 of the Code of Ethics – failing to seek the consent of the landlord before returning the deposit to the tenant upon termination of the tenancy by the tenant
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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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| 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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| Land search |
22/07/2020
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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 tenant immediately before the provisional tenancy agreement of the property was entered into
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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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| Land Search/Requirements for signing of sale and purchase/Tenancy agreement |
08/03/2021
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1. Failure to comply with paragraph 3.5.1 of the Code of Ethics – in handling the sale and purchase transaction of the residential properties ("the Properties"), failed to exercise due care and due diligence in ensuring the addresses of the Properties were correctly stated in the preliminary agreement for sale and purchase ("PASP") before arranging for the transacting parties to enter into the PASP
2. Breach of section 13(4) of the Practice Regulation – failure to carry out a land search in the Land Registry in respect of the Properties immediately before the PASP of the Properties was entered into(Same as above)
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1. 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)
2. 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) [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 |
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
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Click
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| 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)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
02/09/2020
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1. Breach of section 9(2) of the Practice Regulation – failure to obtain the vendor's written consent prior to the issue of an advertisement in respect of a residential property ("the Property")
2. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to comply with the guidelines issued by the Estate Agents Authority when providing the floor area of the Property in an advertisement
3. Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to state clearly and legibly the property number and the date on which it was issued or updated in an advertisement for a residential property
4. (Same as above)
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1. Reprimand, fine $500 and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
2. Reprimand, fine $500 and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
3. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 6 points under EAA's Continuing Professional Development Scheme)
4. Reprimand, fine $1,000 and attachment of a condition to the licence (specifying that licensee shall acquire 6 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 |
01/03/2021
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – in handling the sale and purchase transaction of the properties ("the Properties"), failed to inform the purchaser of the Properties that the driveway providing access to the Properties (“the Driveway”) was on private land and/or advise the purchaser to seek legal advice on the use of the Driveway
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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)
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
01/03/2021
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Failure to comply with paragraph 3.4.1 of the Code of Ethics – in handling the sale and purchase transaction of the properties ("the Properties"), failed to inform the purchaser of the Properties that the driveway providing access to the Properties (“the Driveway”) was on private land and/or advise the purchaser to seek legal advice on the use of the Driveway
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Reprimand and fine $7,000
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No
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No
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Click
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| Misrepresentation/ Inaccurate information/ Improper advice |
09/11/2020
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1. Failure to comply with paragraph 3.5.1 of the Code of Ethics – in handling the sale and purchase transaction of a residential property ("the Property"), failure to make verification before representing to the purchaser that there was no subdivided unit in the building which the Property formed part
2. Failure to comply with paragraph 3.5.1 of the Code of Ethics – in handling the sale and purchase transaction of the Property, provided the purchaser with wrong information concerning the ambit of the Property, and/or failure to remind the purchaser to seek professional advice on the accuracy of the ambit of the Property shown on the floor plan provided to him
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1. Unsubstantiated
2. 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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| Offering of incentives/rebates |
03/07/2019
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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
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1. Reprimand and fine $100,000
2. Reprimand and fine $3,000
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No
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No
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Click
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| Offering of incentives/rebates |
28/10/2020
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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
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1. Reprimand, fine $9,000, 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 2 months (5/12/2020 – 4/2/2021) (*see Note)
2. 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)
[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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| 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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| Offering of loan |
23/10/2020
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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 prospective purchaser of the Property
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Reprimand, fine $15,000, attachment of a condition to the licence (specifying that licensee shall acquire 16 points under EAA's Continuing Professional Development Scheme) and suspension of licence for 1 month (21/11/2020 – 20/12/2020) (*see Note)
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No
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No
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Click
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| Offering of loan |
26/03/2021
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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
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1. Reprimand and fine $10,000
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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| 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 |
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 |
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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| Miscellaneous |
16/06/2020
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Failure to comply with paragraph 3.7.2 of the Code of Ethics - taking photos in a shop without the prior consent of the landlord and/or the tenant
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Reprimand and attachment of a condition to the licence (specifying that licensee shall acquire 18 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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| Miscellaneous |
18/01/2021
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Failure to comply with paragraph 3.2.1 of the Code of Ethics – failure to perform due diligence on the transacting parties before their signing of the provisional agreement for sale and purchase when handling the sale and purchase transaction of a residential property
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Reprimand and attachment of a condition to the licence (specifying that the 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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| Miscellaneous |
22/06/2021
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1. Failure to comply with paragraph 3.2.1 of the Code of Ethics - arranging for the representative of the transacting party to sign a provisional agreement for sale and purchase with certain essential terms of the agreement left blank
2. (Same as above)
3. Failure to comply with paragraph 3.2.1 of the Code of Ethics – amending terms in the provisional agreement for sale and purchase that the representative of the transacting party had already signed without obtaining the representative’s written consent or arranging for her to sign against the amendments for confirmation
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1. 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)
2. Reprimand and fine $5,000
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 fined $5,000 in total.]
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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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