Guidance
LCCP Information requirements
Guidance for licence holders on the information requirements in the LCCP
21 - Personal licence key events (specific)
This section provides guidance to holders of gambling personal licenses on key events they need to report to us.
A personal licence key event is an event that could have a significant effect on the suitability of a person to hold a personal licence.
Specific guidance on reporting personal licence key events
Personal licence conditions
All personal licence holders
Personal licence holders must themselves notify the Commission of the occurrence of any of the following key events within ten working days after the licensee becomes aware of the event’s occurrence:
- their subjection to any criminal investigation which is listed under Schedule 7 Relevant Offences of the Gambling Act 2005
- their conviction of any offence listed under Schedule 7 – Relevant Offences of the Gambling Act 2005
- any current or pending investigation by a professional, statutory, regulatory or government body in Great Britain or abroad
- the imposition of any sanction or penalty against them following an investigation by any professional, statutory, regulatory or government body in Great Britain or abroad
- the imposition of a disciplinary sanction against them, including dismissal, for gross misconduct
- their resignation from a position for which a personal licence is required following commencement of disciplinary proceedings in respect of gross misconduct
- their disqualification from acting as a company director
- the presentation of a petition for their bankruptcy or sequestration or their entering into an individual voluntary agreement
- a change in their name or address.
You must submit a personal licence key event report to us if certain events happen. These are listed as follows
These reporting requirements apply to all holders of personal licences.
An investigation of an offence under the Gambling Act 2005, Schedule 7
Tell us what offence you are being investigated for and the position and employer the investigation relates to. If you are being investigated for multiple offences at the same time, tell us about these within the same report. Include a summary of the reasons for the investigation and the date it started.
Conviction of any offence listed under the Gambling Act 2005, Schedule 7
Tell us what offence you were convicted of and the sentence passed. If you were convicted of multiple offences at the same time, tell us about these within the same report.
Any current or pending investigation by a professional, statutory, regulatory or government body in Great Britain or abroad
Tell us why your actions are being investigated and what position and employer the investigation relates to. Provide the name of the professional, statutory, regulatory or government body. If that body is based overseas, provide the website and address details for that body. Include a summary of the reasons for the investigation and the date it started or will start.
The imposition of any sanction on or penalty against you following an investigation by any professional, statutory, regulatory or government body in Great Britain or abroad
Tell us what the sanction or penalty is, when it was imposed and what position and employer it relates to. Provide the name of the professional, statutory, regulatory or government body. If that body is based overseas, provide the website and address details for that body. Include a summary of the reasons for the sanction or penalty being imposed.
The imposition of a disciplinary sanction imposed against you, including dismissal, for gross misconduct
Tell us what the sanction is, when it was imposed and what position and employer it relates to. Include a summary of the reasons for the gross misconduct. You do not tell us about disciplinary sanctions imposed by your company that were not for gross misconduct.
Your resignation from a position for which a personal licence is required following commencement of disciplinary proceedings in respect of gross misconduct
Tell us what position and employer your resignation relates to. Include a summary of the reasons for the gross misconduct allegations.
Your disqualification from acting as a company director
Tell us when the disqualification begins and will end, the reason you were disqualified, the names of companies relevant to your disqualification, and if you have the court’s permission to continue to act as a director.
The presentation of a petition for your bankruptcy, or sequestration (applies only in Scotland), or your entering into an individual voluntary agreement
Tell us about the circumstances that led to the bankruptcy, sequestration or individual voluntary agreement, including the date the event occurred, what information you have provided to your employer about the matter, and if your employer is taking any disciplinary action as a result. Upload copies of the bankruptcy order, sequestration order or individual voluntary agreement.
In the case of bankruptcy and sequestration, note that your licence will automatically lapse after you inform us of this event, so also tell us if you intend to re-apply for a licence and when you intend to re-apply.
Also note that anyone who has a bankruptcy order (‘undischarged bankrupts’), a debt relief order or bankruptcy restrictions is banned from being the director of a company. If this applies to you, you need to submit a separate personal event report telling us that you have been disqualified from acting as a company director.
Change your name or address
You must tell us your new name or address.
For changes to your name or address, use the ‘Manage your details’ option within the Manage and maintain your licence digital service. This will create a personal licence key event report automatically.
Previous sectionPersonal licence key events (general)
Last updated: 15 April 2024
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