Consultation response
2023 Consultation on proposed changes related to financial penalties: Consultation Response
This response sets out our position in relation to the consultation on the proposed changes to the Statement of Principles for Determining Financial Penalties.
Contents
- Executive summary
- Introduction
- Summary of responses and our position
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- Proposal 1: Principles for determining financial penalties
- Proposal 2: The framework of policies and procedures
- Proposal 3: The legal framework
- Proposal 4: The scope of this document
- Proposal 5: Key considerations
- Proposal 6: The purpose of imposing a financial penalty
- Proposal 7: Criteria for the imposition of a financial penalty
- Proposal 8: Criteria for determining the quantum of a financial penalty
- Proposal 9: Step 1 - Detriment to consumers and/or financial gain to the licensee
- Proposal 10: Step 2 (a) - The seriousness of the breach to determine the starting point of the penal element
- Proposal 11: Step 2 (b) - Determining the starting point of the penal element of the fine
- Proposal 12: Step 3 - Mitigating and aggravating factors
- Proposal 13: Step 4 - Adjustment for deterrence
- Proposal 14: Step 5 - Discount for early resolution
- Proposal 15: Step 6 - Affordability
- Proposal 16: Step 7 - Proportionality
- Proposal 17: Procedural matters, payment plans, time limits and payments in lieu of financial penalties
- Proposal 18: Indicative sanctions guidance
- Proposal 19: Impact of the proposals on protected characteristics stated in the Equality Act 2010
- Annex
Proposal 4: The scope of this document
The wording of paragraph 1.5 of the proposed version Statement of Principles for Determining Financial Penalties (SoPfDFP) remained the same as the wording in the existing version as stated in the consultation document. We sought views on whether the wording of this paragraph is adequate.
We also asked whether any other references, documents or content should be taken into account.
Respondents’ views
There was no disagreement, and no substantive comments were made.
One respondent suggested that reference should also be made to the Regulators’ Code in this paragraph of the SoPfDFP.
Our position
It is our view that the relevant principles set out in the Regulators’ Code are either already covered elsewhere in the amended version of the SoPfDFP or in the Gambling Commission’s Indicative Sanctions Guidance2, therefore no changes are required.
Final wording
This requirement will come into force on 10 October 2025.
Paragraphs 1.5 of the amended SoPfDFP
The scope of this document
1.5. Section 121(6) of the Act requires the Commission to, among other things, prepare a statement setting out the principles to be applied by decision makers in exercising the Commission’s powers to impose financial penalties, and to have regard to the statement when exercising a power under this section. The Commission shall review this statement of principles from time to time and revise it when necessary to do so.
References
1 Question 16 allowed for respondents to make general comments and suggestions on Section 1 of the SoPfDFP. Comments and feedback received in response to Question 16 have been incorporated into the relevant sub-sections, where appropriate.
2The Indicative Sanctions Guidance sets out a framework of matters that are relevant to decisions as to whether the Commission should exercise its powers of regulatory enforcement, and if so, what the appropriate sanction might be.
Proposal 3: The legal framework Next section
Proposal 5: Key considerations
Last updated: 10 July 2025
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