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Enforcement report 2018/19

Compliance healthcheck

Your staff:

  • Do your key personnel have sufficient knowledge, understanding and oversight of the regulatory framework and compliance requirements?
  • Are you targeting employee training to suit the environment in which employees work?
  • Could you demonstrate to us that your staff are making sufficiently frequent and rigorous checks to ensure your business is compliant?
  • Have you considered linking performance and elements of pay to compliance?
  • Do you have appropriate, up to date policies and procedures?
  • Do your compliance resources mirror the size of your operation and its level of risk?
  • For those operators required to submit an assurance statement, do you use the statement to create a culture of continuous improvement?

Your customers:

  • At the point a customer registers with you, do you require employment details? Do you link these details to average income for the job type to better understand customer affordability?
  • Do you use targeted customer interactions and interventions? How do you know interventions are effective?
  • How are you encouraging customers to use player protection tools and set deposit limits? Do your approaches work, and can you demonstrate this?
  • Are you improving your systems to identify when customers have exceeded spend or duration of play thresholds?
  • How are you identifying and analysing at-risk customers? For example, are you using predictive tools?
  • Can you demonstrate through accurate records that you conduct appropriate interactions with VIP and at-risk customers?

Third parties:

How are you managing and auditing your relationship with 3rd party affiliates? Could you satisfy us that you are in control of these relationships?

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Enforcement report

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