Are financial checks a breach of the Regulator's Code?

Request

I would like to ask the following question under the Freedom of Information Act

Has there ever been a discussion, whether verbal or written, as part of a meeting or in email communication between or including Commissioners of the Gambling Commission about the possibility that the implementation of financial checks was a potential breach of s.1, S.1.1. or s.1.2 of the Regulator's Code ?

Response

Thank you for your request which has been processed under the Freedom of Information Act 2000 (FOIA).

In your email you have requested whether there has ever been a discussion, whether verbal or written, as part of a meeting or in email communication between or including Commissioners of the Gambling Commission about the possibility that the implementation of financial checks was a potential breach of s.1, S.1.1. or s.1.2 of the Regulator's Code?

Firstly, it should be noted that the FOIA gives individuals the right to request only recorded information held by public authorities, such as the Gambling Commission. It does not provide an avenue for individuals to gain views or opinions of public authorities or information not held at the time the request is made. As such, where you have requested verbal communication, this does not fall within the remit of the FOIA.

In an effort to fulfil your request for confirmation of written (recorded) discussion between or including Commissioners of the Gambling Commission about the possibility that the implementation of financial checks was a potential breach of s.1, S.1.1. or s.1.2 of the Regulator's Code we have conducted content searches across Commissioners email addresses for the time period 01/04/2023 – 28/10/2025 (the Gambling White Paper being published in April 2023 to the date of your request) containing the phrase “regulators code”. This search yielded over 900 records potentially in scope of your request.

Further to this, we conducted a similar search of the Gambling Commission’s Governance document storage area, where minutes of board meetings and associated documents are saved. This search produced over 250 more results potentially in scope of your request. Each of these records would need to be reviewed manually in order to confirm if specific information answering your request is held by the Commission.

Section 12(2) of the Freedom of Information Act 2000 (FOIA) makes provision for public authorities to refuse to confirm whether you hold the requested, where the cost of dealing with them would exceed the appropriate limit. For public authorities, such as the Commission, this is set at £450. This represents the estimated cost of one person spending 18 hours in determining whether the department holds the information, locating, retrieving and extracting the information.   

Due to the volume of material potentially in the scope of your request, it would take in excess of 18 hours to determine appropriate material and locate, retrieve and extract any relevant information in reference to your request.

If you are able to refine your request, we may be able to narrow the number of records that we need to review.

Until we are able to process the search of the information you have requested, we are unable to ascertain if other exemptions will apply to any material identified which would also prevent disclosure.

Please note, any refined request would be processed as a new request and the 20 working day statutory time limit would apply.

The Commission has been working to deliver our commitments to the Government’s Gambling White Paper, including financial risk checks.

I can confirm that as we deliver our commitments from the White Paper, we aim to ensure that our regulation is as clear and focused as possible, making it easier for licensees to ensure they comply with our standards at the earliest possible opportunity. This is consistent with the National Audit Office’s principles of effective regulation, the Regulators’ code and our own Statement of Principles.

Review of the decision

If you are unhappy with the service you have received in relation to your Freedom of Information request you are entitled to an internal review of our decision. You should write to FOI Team, Gambling Commission, 4th floor, Victoria Square House, Victoria Square, Birmingham, B2 4BP or by reply to this email. 

Please note, internal review requests should be made within 40 working days of the initial response. Requests made outside this timeframe will not be processed.

If you are not content with the outcome of our review, you may then apply directly to the Information Commissioner (ICO) for a decision. Generally, the ICO cannot make a decision unless you have already exhausted the review procedure provided by the Gambling Commission. 

It should be noted that if you wish to raise a complaint with the ICO about the Commission’s handling of your request for information, then you are required to do so within six weeks of receiving your final response or last substantive contact with us.

The ICO can be contacted at: The Information Commissioner’s Office (opens in a new tab), Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF.

Information Management Team
Gambling Commission