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What you need to send us when you apply for an operating licence: medium to large businesses

If you are a medium to large business these are the supporting documents you will need for your application for an operating licence for your gambling business.

If you are not sure whether your business would be considered small or medium to large then contact us to discuss your application before you apply.

Supporting documents for a medium to large business

Audited accounts

If your business is a limited company that has already been trading for a year. Audited accounts should also be provided for any parent and/or holding company.

Bank statements

For all limited companies. Bank statements for all accounts operated by your business for the last six months. These must be in the name of the applicant and show sort code and International Bank Account Number (IBAN) Business Identifier Code.

Business plan

A detailed document that includes:

  • organisational background
  • details of facilities to be provided
  • marketing plan
  • financial plan
  • risk evaluation and risk management plan
  • governance and management framework
  • legal framework in which the business is operating
  • business objectives for the next 12 months
  • success criteria. 

And any other relevant information. 

Certificate of incorporation

If your business is a limited company.

Credit report

If your business is a limited company based outside the United Kingdom.

Existing licences

Copies of existing gambling-related licences, if your business is already licensed outside Great Britain. If applications are in progress in jurisdictions outside GB but not yet completed please provide details.

Forecasts

A three year profit/loss forecast including a commentary on the assumptions that have been made in creating the forecast.

Group structure chart

If your business is a limited company and is part of a larger corporate structure. The chart should show all the companies within the group structure and demonstrate the nature of the link and the percentage of holdings. With a complicated group structure a commentary should also be provided in the business plan.

Legal judgements

For all companies. Copies of any convictions, legal rulings, insolvency, bankruptcy, administration, Count Court Judgements, or any other legal proceedings involving the company. If proceedings are underway but not yet completed please provide full details in the application form.

Loan agreements

For all limited companies, provide copies of all loan agreements linked to the company.

Management Structure – n/a

Memorandum of Association and Articles of Association

If your business is a limited company.

Ownership structure

If your business is a limited company. The chart should show who has a financial interest in the business. Anyone with a 3% equity or more in the company must be named and the percentage of their holding show. Anyone with a 10% or more equity is a financial controller and must submit an Annex A application or a personal licence application  if responsible for a key management function. If the company is part of a larger corporate structure it is acceptable to provide a single chart to show the group structure and the ownership structure. With a complicated ownership structure a commentary should also be provided in the business plan.

Partnership agreement

If your business is a partnership of two or more people.

Policies and procedures

Written policies and procedures that explain how the business will meet the following licensing objectives in regard to all the activities applied for:

  • keeping crime and disorder out of gambling
  • ensuring that gambling is fair and open
  • ensuring that children and vulnerable people are protected from being harmed by gambling
  • promoting social responsibility in gambling.

The policies must include a complaints procedure and who will be the ADR for the business, the self-exclusion procedure, how the business will keep up-to-date with any changes to LCCP and legislation and, for premises-based businesses, evidence of a local risk assessment.

Submitting the BACTA toolkit is not evidence by itself that you have satisfactory policies. You must demonstrate that you have received training from BACTA and demonstrate how you will be implementing the procedures in the toolkit.

The policies should be supported wherever possible by process maps/flow diagrams which show how they will work in practice, where the escalation and decision points are, who is responsible for making those decisions and what their role in the business is. They should highlight any potential risks to the licensing objectives and the business and detail how these risks will be managed and mitigated.

Businesses providing remote casino, bingo and virtual event betting and/or non-remote casinos must provide an anti-money laundering policy.

Rules of play

Provide copies of the rules of play for the gambling being offered (where applicable).

Stock exchange announcements

If your business is listed on the stock exchange provide any announcements relating to the business or a group company within the past five years.

Terms and conditions

Provide copies of the terms and conditions which customers must agree to prior to gambling (where applicable). If the terms and conditions are not yet finalised please provide a draft copy.

Trust documents (trust deed, letter of wishes, letter of consent from Trustees)

If your business is a trust or there is a trust involved in the ownership structure. Provide the name, date of birth and address of all trustees, beneficiaries, settlor and protector of the trust will be required. A beneficiary or a trustee will be required to submit an Annex A application.

Additional supporting documents for remote/online businesses