Licensing, Compliance and Enforcement Policy: Consultation Response
This response sets out our position in relation to the consultation around proposed changes to our Licensing, Compliance and Enforcement Policy.
- Executive summary
Summary of responses - Licensing changes
- - Proposal 1: Policy position in relation to dual regulation products
- - Proposal 2: Changes to complete applications
- - Proposal 3: Clarification of relevant persons
- - Proposal 4: Timescale for using licence
- - Proposal 5: Clarification of suitability criteria
- - Proposal 6: Clarification of financing arrangements
- - Proposal 7: Addition of new examples to update the Commission about
- - Proposal 8: Minor updates to reflect minor changes to processes in the policy
- Summary of responses - Compliance changes
- Summary of responses - Enforcement changes
Proposal 3: Clarification of relevant persons
Updated paragraph 3.10
In considering operating licence applications the Commission will include assessment of the suitability of those persons considered relevant to the application. The persons considered relevant may vary depending on the information provided in the operating licence application and on company structure, but are likely to exercise a function in connection with, or to have an interest in, the licensed activities. It may also include shadow directors, persons or other entities who are controllers of the applicant and/or those who are its ultimate beneficial owners.
- Q7. Do you agree that these examples will assist operators in identifying what is a relevant person and providing necessary information about them to the Commission?
The majority of respondents agreed with the proposal and many commented that relevant persons should be subject to scrutiny.
Respondents also commented that:
- further examples and guidance were needed on who could be considered relevant persons
- the limited additional examples appear to give the Commission a significant amount of discretion as to who is considered relevant.
Whilst the Commission has made a minor amendment to the paragraph following responses, we do not intend to provide further examples because this is a policy statement and not intended to provide exhaustive lists.
The Gambling Act 2005 necessarily gives the Commission discretion as to who are considered relevant persons. It is an applicant’s responsibility to identify who might be relevant, bearing the Policy in mind, but the Commission will, on a case-by-case basis, identify and ask for information about who it considers may be relevant persons not identified by an applicant.
Proposal 2: Changes to complete applications Next section
Proposal 4: Timescale for using licence
Last updated: 22 June 2022
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