Consultation response
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.
Contents
- Executive summary
- Introduction
- 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
- - Proposal 9: Remote assessments
- - Proposal 10: Assessment framework
- - Proposal 11: Special Measures
- Summary of responses - Enforcement changes
Proposal 4: Timescale for using licence
Proposal
New paragraph for insertion after current paragraph 3.10
In considering operating and personal licence applications, the Commission will include assessment of whether an operating licence applicant is likely to provide facilities for gambling within a reasonable period or a personal licence applicant is likely to be employed in a role that requires a personal licence within a reasonable period.
Consultation question
- Q8. To what extent do you agree with our proposal to add a statement setting out our expectations that licences are used within a reasonable period of time of granting?
Respondents’ views
The majority of respondents agreed with the proposal and commented:
- the term ‘reasonable’ is subjective and should be clearly defined, for example 3 months
- the Commission should consider how long it may take a business to get certain things into place, for example banking arrangements
- the Commission should clarify whether this only applies to personal licence applicants who work for a company rather than act on a consultancy basis.
Respondents also made the following comments:
- personal licence holders may be between jobs that require a personal licence
- entity may apply well ahead of intended trading date because of the time it takes to get the business ready to trade.
Our position
Whilst the Commission understands the comments about defining what a ‘reasonable’ period is, the Commission does not intend to define this because it is right that we consider each application on its own merits. Whilst it might be reasonable, based on the information provided with the application and the type of application, to expect one applicant to begin to use their licence within a couple of months of it being granted, it may not be reasonable for another applicant.
In respect of personal licence holders who may be in between jobs, it should be noted that this new paragraph applies specifically to applicants for licences.
It should be noted that this applies to all personal licence applicants. Those applying for a personal licence purely to provide consultancy services and who do not intend to take up a role that requires them to hold a personal licence are unlikely to be granted a licence.
Proposal 3: Clarification of relevant persons Next section
Proposal 5: Clarification of suitability criteria
Last updated: 22 June 2022
Show updates to this content
No changes to show.