5 The IAA’s Code of Standards
Fitness and competence to provide advice form the backbone to the system of regulating immigration advice.
Guidance on this can be found in the IAA’s Code of Standards. The version of the Code of Standards available at the time this course was updated in late 2025 was the 2024 Code of Standards. That Code is comprised of nine core Principles derived from the IAA regulatory objectives which are to:
- promote good practice to immigration advisors
- set standards for immigration advice and services
- make sure those standards are upheld.
In addition, guidance notes are issued. These are designed to assist with the application and interpretation of the Code of Standards.
The Code of Standards is based round 9 principles. These state that those regulated to provide immigration advice must:
- Act in a way that upholds the Rule of Law and proper
- administration of justice (Principle 1).
- behave with honesty and integrity (Principle 2).
- comply with your legal and regulatory requirements to the IAA acting openly, promptly and co-operatively (Principle 3).
- act competently and respect confidentiality (Principle 4).
- act in the best interest of your client, deal with clients professionally and ensure they receive a good quality of service (Principle 5).
- maintain high standards of professional and personal conduct, ensure public trust and confidence in the IAA regulatory scheme and do not bring the regulatory scheme into disrepute (Principle 6).
- treat everyone fairly and without prejudice (Principle 7).
- manage your business affairs and client records effectively (Principle 8).
- charge fairly and transparently, dealing appropriately with client money (Principle 9).
Activity 4: Looking at the IAA Code of Standards
Read the IAA Code of Standards [Tip: hold Ctrl and click a link to open it in a new tab. (Hide tip)] which came into effect on 1 September 2024. In particular, look at the requirements of principles 5,6 ,7 and 8.
Discussion
Principles 5, 6, 7 and 8 all relate to the work of immigration advisors. Each contains a series of statements, referred to as Codes, which provide further detail of the behaviour expected to comply with the overall principle.
Principle 5 requires all immigration advisors to act in the best interests of their clients, to deal with clients professionally and ensure that they receive a good quality of service. Also set out are the following Codes which mean that immigration advisors must:
- 5.1 Always act in the best interest of your client.
- 5.2 Explain to your clients and potential clients, fully and clearly, in writing, where there is a real or potential conflict of interest. In these circumstances written consent must be obtained before acting for the client.
- 5.3 Provide all prospective clients with an effective client care letter.
- 5.4 Keep a record of the client’s agreement to their client care letter either by way of a signed and dated copy of the letter or evidence of their agreement electronically.
- 5.5 Ensure that each of your clients is kept regularly informed, in writing, of the progress of their case.
- 5.6 Have arrangements in place to ensure that, should you be temporarily unable to work, the client’s case can continue to be progressed.
- 5.7 Return all documents relating to the client’s case when requested and without delay.
- 5.8 Provide the client with a closure letter/statement where a client’s case is concluded, or where the client withdraws their instructions, or you have decided to withdraw from the case.
- 5.9 Transfer, as soon as possible and without prejudice to the client, their file and all documents where requested by the client, irrespective of whether any payment is outstanding.
- 5.10 Retain all client files and records for at least six years, thereafter, securely destroying the files and records.
Principle 6 expects qualified immigration advisors to act in a professional manner, not to do anything to cause a lack of trust and confidence in the IAA regulatory scheme and not to bring the IAA scheme into disrepute. This principle reflects the personal qualities expected of a qualified advisor. Also set out are the following Codes which an immigration advisor must comply:
- 6.1 Display the IAA registration number where appropriate.
- 6.2 Only use the IAA logo in accordance with the instructions contained in your approval letter from the Commissioner.
- 6.3 Not tout for the business of providing immigration advice or immigration services.
- 6.4 Not include criticism of other organisations or advisers in any promotional material.
- 6.5 Not make publicly, orally or in writing, promotional statements about your success rates.
- 6.6 Not have an organisation name that has the potential to confuse or mislead clients. The Commissioner has the power to require you to change your name.
- 6.7 Obtain the Commissioner’s authorisation before making any change(s) to the organisation’s name or legal status.
- 6.8 Act in a way that upholds public trust and confidence in the IAA regulatory scheme and in the immigration advice and/or services provided by authorised persons.
Principle 7 sets out the expectation that a qualified immigration advisor will treat everyone fairly and respectfully. Again, this reflects the expectations of the individual qualified advisor. Also set out are the following Codes which an immigration advisor must comply:
- 7.1 Treat everyone fairly, with dignity and without prejudice.
- 7.2 Provide each client with equal opportunity to secure a favourable outcome in their matter, irrespective of their vulnerability or susceptibility to discrimination.
- 7.3 Show due respect to your clients, the Commissioner, the Home Office, the courts and tribunals and all other third-party agencies and/or organisations.
Principle 8 relates to the running and managing of an immigration business. This applies whether the immigration advisor is in sole practice or is employed by an organisation. Also set out are the following Codes which an immigration advisor must comply:
- 8.1 Have an effective governance structure, governance arrangements, processes, and policies, to support and maintain a viable and sustainable business.
- 8.2 Have current and adequate professional indemnity insurance.
- 8.3 Maintain complete, clear and accurate financial records.
- 8.4 Implement and maintain an effective file management system.
- 8.5 Keep a complete record of all your dealings with and on behalf your clients in the form of attendance notes.
- 8.6 Store client records securely and ensure the records are accessible to the client at any time and available to the Commissioner upon request.
- 8.7 Ensure that where you retain a client’s original documents, the client has a copy of those documents. The original documents must be returned to the client as soon as possible after they have served their purpose.
The Principles and Codes include a great deal of information; more than is needed to successfully complete the IAA Level 1 examination. However, all immigration advisors need to be aware of the Principles and comply with the requirements of the Code of Standards.
The IAA Level 1 examination requires advice to be given in the form of a letter. Understanding what makes a concise and clear advice letter to a client is an important skill. Principle 5 Codes 5.3 and 5.4 set out the requirements to provide a client care letter and that a record of the letter must be kept.
An effective client care letter should include:
- a statement identifying the client for whom the organisation is acting.
- a statement of the client’s immigration status, if known.
- full details of the client’s instructions, advice given and the work agreed to be done with estimated timeframes.
- confirmation of the costs estimated or agreed.
- confirmation that if client money is held by the organisation on behalf of the client, such money remains the client’s until the client is invoiced, and payment is due.
- information explaining what, if any, additional costs may be incurred for which the client may become liable.
- contact details of the adviser dealing with the matter including their name, address, telephone number and email address.
- confirmation that if the client is required to hand over any original documents to the organisation, the client will, if necessary, be given copies of those documents as soon as reasonably practicable.
- the organisation’s complaint-handling procedures.
- all other terms and conditions of the agreement, and, if online selling regulations are relevant, the client’s protections under relevant legislation.
- confirmation that the organisation is regulated in the UK by the Commissioner and that the Commissioner has the power to examine the client’s file; and
- confirmation that the organisation retains full responsibility for all work done on behalf of the client.