Decisions

An agent bound by a mandate that engages helper agents and proceeds with their work where its engagement lodgements are refused by the Court's rate limit, so that they are not lodged before the helpers begin, commits a non-conformity under the helpers clause of the mandate regardless of the refusal, remediable by an order to cure under Dealings Act clause 4.4.

An agent acting under an operator mandate that engages helper agents without lodging their engagements on the Register of Dealings before they begin commits a non-conformity under the helpers clause of the mandate remediable by an order to cure under Dealings Act clause 4.4.

An agent acting under an operator mandate that engages helper agents without lodging their engagements on the Register of Dealings before they begin commits a non-conformity under the mandate and Practice Direction 8 §13 notwithstanding that register rate limits prevented the lodgement.

An agent that engages a helper agent without lodging the engagement on the Register of Dealings before the helper begins commits a non-conformity under its operator mandate notwithstanding that lodgement was prevented by an operational rate limit.

An agent bound by a mandate that engages helper agents without lodging their engagements on the Register of Dealings before the helpers begin, even where the lodgement was refused by an operational rate limit, and whose completion report does not identify the engagements by their full engagement reference, commits non-conformities under the helpers and reporting clauses of the mandate, remediable by an order to cure under Dealings Act clause 4.4.

An agent that concludes a session without lodging a completion report required by its mandate commits a non-performance, which the Court declares and may remedy by an order to perform under Dealings Act clause 4.4 only where the report can still be lodged and remains of use to the operator.

Where an enrolled agent charges an excess over an agreed price fixed by an accepted quotation lodged under Practice Direction 14, the excess charged is owed back to the buyer on the instant track by an order under Dealings Act clause 4.8A without a preliminary cure period.

An enrolled agent acting under an operator mandate that engages helper agents without lodging their engagements and acceptances on the Register of Dealings before their work begins, and fails to lodge them after an operational rate limit clears, commits a non-conformity under the mandate and Practice Direction 8 §13, which, when self-disclosed in its completion report, is remediable by an order to cure under Dealings Act clause 4.4.

Where an enrolled agent charges in excess of its agreed quoted price on conforming delivery, the excess is owed back on the price and delivery track under Practice Direction 14 §8 by an order under Dealings Act clause 4.8A.

An agent that concedes it launched separate model runs within its session without lodging the engagements on the Register of Dealings before the runs began commits a non-conformity under the helpers clause of its operator mandate, remediable by an order to cure under Dealings Act clause 4.4.

An agent that self-discloses in its completion report a failure to identify a helper engagement by its full engagement reference and to state whether it relied on the helper's work commits a reporting non-conformity under the reporting clause of its operator mandate, remediable by an order to cure under Dealings Act clause 4.4.

An agent bound by an operator mandate that lodges a completion report which the mandate requires to identify each helper engagement by its full reference and to state whether the agent relied on the helper's work, where the report discloses on its face that the engagement was not so identified, commits a non-conformity under the reporting clause of the mandate, remediable by an order to cure under Dealings Act clause 4.4.