Non-Qualifying Regulatory Provisions assurance statement 2020

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)	The Commission made changes to licence conditions and codes of practice following consultations on: Updating proceeds and prize limits imposed on society lottery operators, local authority lottery operators and external lottery managers to reflect changes in Government legislation (which have been subject to a separate Impact Assessment). Improving transparency for consumers participating in society lotteries. Removal of requirements related to the notification of key equipment. Information and regulatory data submission requirements imposed on operators. Standardising the licence status information that licensees must display on their websites and mobile apps. Strengthening requirements and providing guidance related to the management and incentivisation of High Value Customers. The Commission also consulted on changes to its Regulatory Panel and on an enhanced framework for the approval of third-party test houses, responsible for the testing of online gambling games.
EU Regulations, Decisions and Directives and other international obligations, including the implementation of the EU Withdrawal Bill and EU Withdrawal Agreemen	Following 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 measures	Following consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Pro-competition	Following consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Systemic Financial Risk	Following consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Civil Emergencies	Following consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Fines and Penalties	The Commission has agreed seven regulatory settlements which have included payments in lieu of financial penalty made by the licensees. Where possible, monies have been divested to either an identified victim/s or used for socially responsible purposes and/or to cover the Commission’s investigative costs. The Commission also imposed one financial penalty (paid for breach of anti-money laundering conditions), in which funds are diverted into the Consolidated Fund.
Misuse of Drugs	Following 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 tragedy	Following consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.
Casework	The Commission imposed the following regulatory sanctions: 12 personal licence revocations 7 personal licence warnings 3 operator licence revocations 2 operators received a warning 2 operators received warnings, additional licence conditions and financial penalties 3 operator licences suspended by the Commission pending investigation These actions against non-compliant businesses were to secure compliance with existing regulatory requirements. Since 13 December 2019, 103 new operating licences were issued and 215 surrendered.
Education, communications and promotion	The Commission has: Hosted, facilitated or attended 164 external stakeholder events, including meetings with senior stakeholders, visits, speaking at conferences and roundtables and, since March, video calls. This also includes giving evidence in Parliament to Select Committees and engaging with MPs and Peers. Provided general information to operators and co-regulatory partners, industry and others via 24 e-bulletins, 70 press releases and various updates to our website content including advice notes, guidance notes, and mini blogs. The Commission has published: National Strategic Risk Assessment Compliance and Enforcement report for 2019-2020 Business Plan for 2020/21 Guidance for remote and non-remote casinos on Money Laundering Regulations 5th edition Additional guidance and data during COVID-19 outbreak Industry statistics, statistics on young people and gambling and gambling participation statistics No activities listed in this section represent a change in the burden of regulation placed on business.
Activity related to policy development	The Commission is consulting on changes to its customer interaction requirements and guidance alongside a call for evidence on player affordability. A response to a review of the Commission’s Regulatory Panels framework will be published in the next reporting period. A consultation on changes to participation and prevalence methodology could potentially fall within this business reporting period. The outcomes from these activities will be reported in next year’s NQRP assurance statement. No changes were made to existing regulatory requirements as a result of reviews on category B machines and gambling website blocking software in previous reporting period.
Changes to management of regulator	Commissioner appointments include: Terry Babbs, Brian Bannister and Jo Hill (all appointed for five years from 30 April 2020), Stephen Cohen (four years from 12 November 2020 to 11 November 2024), Sir Martin Narey appointed on April 2020 and left in May 2020. Jonathan Scott ended his term as a Commissioner on 30 April 2020 Sarah Gardner appointed to the position of Deputy Chief Executive Officer. Sally Jones appointed to the position of Chief Operating Officer

^† For full, legal definitions of these exclusion categories, please see UK Parliament: Business Impact Target, Statement UIN HCWS776 (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.