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Non-Qualifying Regulatory Provisions assurance statement 2021

Regulator: Gambling Commission

Business Impact Target Reporting Period Covered: 12 December 2020 and 16 December 2021

Excluded Category†Summary of measure(s), including any impact data where available††
Measures certified as being below de minimis (measures with an EANDCB below +/- £5 million)In the reporting period, the Commission has not published any consultation responses which have resulted in LCCP changes. These consultation responses include:
  • The gambling blocking software call for evidence.
  • Changes to online games design and reverse withdrawals.
  • Improving research methodology used to collect gambling participation and prevalence statistics.
  • Updating and improving the Regulatory Panels process through changes to corporate governance framework.
Following the consultation on online games design and reverse withdrawals, the Commission made changes to the Remote Technical Standards.
EU Regulations, Decisions and Directives and other international obligations, including the implementation of the EU Withdrawal Bill and EU Withdrawal AgreementFollowing consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Measures certified as concerning EU Withdrawal Bill operability measuresFollowing consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Pro-competitionFollowing consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Systemic Financial RiskFollowing consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Civil EmergenciesFollowing consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Fines and PenaltiesThe Commission has agreed six regulatory settlements which have included payments in lieu of financial penalty made by the licensees and recovery of the Commission’s investigative costs. Where possible, monies have been divested to either an identified victim/s or used for socially responsible purposes.

The Commission has imposed seven financial penalties for breaches of licence conditions and codes of practice (for example, anti-money laundering and social responsibility conditions). Funds from financial penalties are diverted into the Consolidated Fund.
Misuse of DrugsFollowing consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Measures certified as relating to the safety of tenants, residents and occupants in response to the Grenfell tragedyFollowing consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
CaseworkThe Commission imposed the following regulatory sanctions:
  • 1 personal licence revocation due to enforcement action
  • 4 personal licence revocations by licensing team as a result of lack of maintenance of licence by the licensee
  • 6 personal licence warnings
  • 1 operating licence revocation
  • 1 operator received a warning
  • 13 operators received either warnings, additional licence conditions or financial penalties
  • 6 operating licences suspended by the Commission pending investigation
These actions against non-compliant businesses were to secure compliance with existing regulatory requirements.
Education, communications and promotionThe Commission has:
  • Attended 170 stakeholder meetings, including industry, trade bodies, politicians and third sector organisations.
  • Provided general information to operators and co-regulatory partners, industry and others via 24 e-bulletins, 51 press releases, 11 blog posts and various updates to our website content including guidance notes.

The Commission has published:
  • Annual Report and Accounts for 2020/21.
  • Business Plan for 2021/22.
  • Regulatory returns guidance.
  • Testing strategy for compliance with remote gambling and software technical standards.
  • Online games design and reverse withdrawals consultation responses.
  • Industry statistics, statistics on young people and gambling, Covid-19 impact data, and gambling participation statistics.
Activity related to policy developmentThe Commission is currently consulting on changes to the Licensing, Compliance, and Enforcement Policy Statement to ensure that it remains transparent and up to date.

The Commission will soon publish the response to the consultation on changes to customer interaction requirements and guidance. The outcomes from these activities will be reported in next year’s NQRP assurance statement.
Changes to management of regulatorAndrew Rhodes appointed as Interim Chief Executive in June 2021, replacing Neil McArthur who left the Commission in March 2021. Sally Jones (COO) and Sarah Gardner (DCEO) were acting joint CEOs between March and June, with Sarah taking the Accounting Officer responsibility.

There were the following changes at Executive level:
  • Chief Operating Officer – Sally Jones was replaced by Charlotte Leonard (November 2021).
  • Chief Financial Officer – Marie Perry left the Commission in October 2021. Interim cover is currently in place.
  • Communications Director – Tamsin Morgan left in January 2021, replaced by Lucy Denton in June.
  • Legal Director – Nadine Pemberton Jn Baptiste replaced Natalie Prosser in March 2021.
  • Richard Watson, Executive Director for Enforcement and Intelligence left the Commission in May 2021.
  • Paul Hope, Executive Director National Lottery and Major Projects, left in December 2020.
William Moyes’ term of office as Chair of the Gambling Commission ended September 2021, succeeded by Marcus Boyle.

† For detailed guidance on the exclusion categories, please see https://www.gov.uk/government/publications/better-regulation-framework (opens in new tab)

††Complete the summary box as ‘Following consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.’ where this is appropriate.

Documents

Non-Qualifying Regulatory Provisions assurance statement 2021

PDF 146.1 kB

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