Mr. Robert David Harvey - June 6, 2011

Mr. Robert David Harvey - June 6, 2011

Disciplinary Summary


June 6, 2011

Complaint

Complaints were filed with the Association against former member Mr. Robert David Harvey, of Invermere, alleging that the member failed to file personal and corporate tax returns on time, and failed to inform the clients of important documents he received on their behalf from CRA.  Further, the member failed to assist in the investigation by not responding to written requests for information by the Association.

Decision

The Discipline Committee found that the member was in breach of CGA-BC’s Codes of Ethical Principles and Rules of Conduct in effect from September 23, 2006, September 22, 2007 and September 18, 2010, as follows:

  • 1st Ethical Principle – Responsibilities to Society, 2nd Ethical Principle - Trust and Duties, 4th Ethical Principle – Deceptive Information, 5th Ethical Principle – Professional Practice, and Rule R604(c) regarding Admittance to Membership as he: failed to respond as required to any requests from the Association thereby hindering the investigation process and the monitoring role; failed to meet CRA guidelines by filing the clients’ T2s late causing them to incur CRA late filing penalties and interest; and failed to advise the client of relevant CRA notices received; 
  • Rules R301 – Competence as he filed the clients’ T2s late contrary to CRA guidelines causing the assessment of late filing penalties and interest against the clients; 
  • Rule R101 - Discredit and Rule R606(a) - Detrimental Actions as he failed to conduct himself within CRA guidelines with respect to the work performed, and failed to respond to the Association as required thus hindering the ability to investigate this matter in order to protect the public; and 
  • Rule R610 – Requirement to Reply in Writing and R611(a) and (b) – Assistance to the Board as he failed to respond in writing to correspondence from the Association throughout the investigation. 

The Discipline Committee found that the member was not in breach of Rule R305(a) regarding Terms of Engagement, of CGA-BC’s Codes of Ethical Principles and Rules of Conduct in effect from September 23, 2006, September 22, 2007 and September 18, 2010, as there was insufficient evidence to find that he did not have appropriate engagement letters.

Discipline Order

  • Barred from reinstatement for two years, commencing June 6, 2011; 
  • fined $5,000; and 
  • assessed costs of $8,385.