Guidance
LCCP Information requirements
Guidance for licence holders on the information requirements in the LCCP
11 - LCCP notifications (other reportable events)
This section provides guidance to holders of gambling operating licences on how to tell the Gambling Commission about other events which we need reported to us.
It includes how to tell us:
about significant changes to your company’s arrangements for protecting customer funds
about changes to the Alternative Dispute Resolution provider your company uses to handle customer disputes
if a group company which does not have a licence from us, advertises remote gambling to new jurisdiction or exceeds set Gross Gambling Yield thresholds
if your company has broken or may have broken the requirements imposed by or under Part 7 or Part 8 of the Proceeds of Crime Act 2002, or Part III of the Terrorism Act 2000, or any law that amends or replaces them
if you know or have reasonable cause to suspect that a person who has gambled with you has died by suicide.
Other reportable events
All operating licences
1. Licensees must also notify the Commission in such form or manner as the Commission may from time to time specify, as soon as reasonably practicable of the occurrence of any of the following events:
a. any material change in the licensee’s arrangements for the protection of customer funds in accordance with licence condition 4 (protection of customer funds) (where applicable).
b. any change in the identity of the ADR entity or entities for the handling of customer disputes, as required by the social responsibility code provision on complaints and disputes.
c. their becoming aware that a group company which is not a Commission licensee is advertising remote gambling facilities to those residing in a jurisdiction in or to which it has not previously advertised, or their becoming aware of a sustained or meaningful generation of 3% or 10% of group Gross Gambling Yield being exceeded by the group in that jurisdiction.
d. any actual or potential breaches by the licensee of the requirements imposed by or under Parts 7 or 8 of the Proceeds of Crime Act 2002, or Part III of the Terrorism Act 2000, or any UK law by which those statutes are amended or superseded.
2. The licensee must notify the Commission, as soon as reasonably practicable, if it knows or has reasonable cause to suspect that a person who has gambled with it has died by suicide, whether or not such suicide is known or suspected to be associated with gambling. Such notification must include the person’s name and date of birth, and a summary of their gambling activity, if that information is available to the licensee.
In this condition:
a. 'group company' has the same meaning as in condition 15.2.1; and
b. without prejudice to section 327 of the Gambling Act 2005, 'advertising' includes: having a home page directed towards a jurisdiction and written in, or in one of, that jurisdiction’s official language(s), having arrangements enabling that jurisdiction's currency to be selected for gambling or the use of payment methods available only in that jurisdiction, and providing a specific customer service facility referable to that jurisdiction.
Your company must submit an 'other reportable event' report to us if certain events happen. These are listed as follows.
You must tell us as about these events as soon as reasonably practicable.
These reporting requirements apply to holders of all operating licences.
Material change for the protection of customer funds
Significant changes to the company’s arrangements for protecting customer funds under LCCP Licence condition 4.
Tell us the date of the change to the level of protection in place and any major issues with the amount of protected funds held. Also tell us about any significant changes to how your company segregates customer funds and protects them in case of insolvency. We also need to know about significant changes to the terms and conditions or other disclosures your company provides to customers relating to the protection of customer funds.
This information is to be reported to us via the LCCP notifications part of the eServices digital service (opens in new tab). You must select the following type when entering this LCCP notification on eServices: Customer funds protection.
Change in the identity of the Alternative Dispute Resolution entity
Changes to the Alternative Dispute Resolution (ADR) provider the company uses to handle customer disputes.
Tell us the name of the new ADR provider, the date you appointed them and why you have changed provider or appointed an additional one. Note that the chosen ADR provider(s) must be from our approved ADR provider list.
This information is to be reported to us via the LCCP notifications part of the eServices digital service (opens in new tab). You must select the following type when entering this LCCP notification on eServices: ADR provider.
A group company which is not a Commission licensee is advertising remote gambling facilities in a new jurisdiction
If a group company which does not have a licence from us, advertises remote gambling to new jurisdiction or exceeds set Gross Gambling Yield (GGY) thresholds tell us the name, address and website of the company which does not have a licence from us, which new jurisdiction they are advertising remote gambling to and when this activity started. We also want to know if the group as a whole is advertising in a new jurisdiction.
In addition, you must tell us if the total GGY generated from providing gambling into that new jurisdiction, reaches 3 percent or more of your group’s total GGY. If your company group generates less than £5 million in GGY per year, you only need to tell us if the total GGY generated from the new jurisdiction is 10 percent or more of your group’s total GGY.
A company in your group includes any subsidiary or holding company and any subsidiary of such holding company. For a detailed explanation of the meaning of 'subsidiary' refer to the Companies Act 2006 (Section 1159) (opens in new tab). This requirement includes companies which are incorporated outside of the United Kingdom (UK).
Advertising includes having a home page directed towards a jurisdiction and written in, or in one of, that jurisdiction’s official language(s), having arrangements enabling that jurisdiction’s currency to be selected for gambling or the use of payment methods available only in that jurisdiction, and providing a specific customer service facility referable to that jurisdiction.
Guidance on how to calculate Gross Gambling Yield (GGY) is available.
This information is to be reported to us via the LCCP notifications part of the eServices digital service (opens in new tab). You must select the following type when entering this LCCP notification on eServices:
- New jurisdiction (remote) (when your company is advertising remote gambling to a new jurisdiction)
- Group GGY exceeds threshold (when a GGY threshold for group company GGY is exceeded).
Breaches of requirements imposed by the Proceeds of Crime Act 2002 or Terrorism Act 2000
If the company has broken or may have broken the requirements imposed by or under Part 7 of the Proceeds of Crime Act 2002 (opens in new tab) or Part 8 of the Proceeds of Crime Act 2002 (opens in new tab), or Part III of the Terrorism Act 2000 (opens in new tab), or any law that amends or replaces them.
These include reporting requirements in relation to known or suspected money laundering or terrorist financing activity, breaches of the tipping-off or prejudicing an investigation requirements, or committing one or more of the principle money laundering or terrorist financing offences. For this event, you do not need to tell us about breaches by your customers.
When reporting this event, you should include the following information:
- date the breach or potential breach occurred
- date the breach or potential breach was discovered (state which)
- a description of the breach (including telling us what people were involved)
- any impacts resulting from the breach or potential breach
- what actions the licensee has taken after discovering the breach
- details of any internal or external investigations or investigation outcomes (for example prosecutions) resulting from the breach
- contact details of a person we can talk to about the breach.
We will record the information received from the company and assess if we need to request any additional material in line with our Licensing, compliance and enforcement policy.
This information is to be reported to us via the LCCP notifications part of the eServices digital service (opens in new tab). You must select the following type when entering this LCCP notification on eServices: POCA & Terrorism Act breach.
Reporting a death by suicide
You must tell us, as soon as reasonably practicable, if you know or have reasonable cause to suspect that a person who has gambled with you has died by suicide, whether or not such suicide is known or suspected to be associated with gambling.
When reporting this event, you should include the following information:
- the date that the company became aware of the death - use the Date of the notification field to record this
- the person's name
- the person's date of birth
- a summary of the person’s gambling activity (to a maximum of 4,500 characters, including spaces).
A summary of the person’s gambling activity should include:
- whether the person had an active account with the company
- the period(s) the person gambled with the company
- whether the customer account had been managed in accordance with the company's policies and procedures
- the products the person had gambled upon
- whether the customer was being monitored from a safer gambling perspective
- any customer interactions
- any safer gambling alerts of concern
- any self-exclusion agreements and/or use of gambling management tools.
In addition, it would be helpful if the company could briefly include, where known:
- the person's home address
- the person's email address
- the person's date of death
- how the company became aware of the death
- provide any information in respect of third-party queries received by the company such as from relatives or a Coroner’s officer enquiry
- whether any wider internal review of the customer account is or has been carried out by the company
- any further information that the company believes may be relevant in assisting us to determine our next steps.
The upload file function has been disabled for this notification as all information should be provided within the available fields.
If you are unable to provide a person’s date of birth, enter the date '01/01/0001' (as it will not be possible to successfully submit the report without completing this field). You should also use the Details field to explain why you are unable to provide a date of birth.
We will record the information received from the company and assess if we need to request any additional material in line with our Licensing, compliance and enforcement policy.
After this notification has been submitted:
- all sensitive1 information will be redacted
- there will be a reference number displayed within the Detail field, this is for internal purposes only. For any correspondence around this event use the LCCP reference.
This information is to be reported to us via the LCCP notifications part of the eServices digital service (opens in new tab). You must select the following type when entering this LCCP notification on eServices: Death by suicide notification.
References
1 The United Kingdom (UK) General Data Protection Regulation (GDPR) and the Data Protection Act 2018 does not apply to the personal information of deceased individuals. However, the Commission would always wish to ensure that data is handled sensitively and to maintain any duty of confidentiality which may apply.
LCCP notifications (reporting suspicion of offences) Next section
LCCP notifications (money laundering, terrorist financing etc)
Last updated: 17 October 2024
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Paragraph added to the 'Reporting a death by suicide' section detailing what to do if the user is unable to provide a person’s date of birth. Formatting updated.