Guidance

Regulatory decisions: Procedures and guidance for regulatory hearings

Guidance to assist Directors or the Regulatory Panel to carry out their regulatory functions in accordance with our policies and procedures and to comply with the law.

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Published
16 May 2022

Last updated
1 May 2024 - Changes

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Contents

• Regulatory decisions: Procedures and guidance for regulatory hearings

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• 1 - Introduction
• • The purpose of this guidance
  • Scheme of delegations
  • Referral of case to a regulatory hearing
  • The legal framework for decision making
  • Conflicts of interest
• 2 - Preparing for the hearing
• • Introduction
  • Documentary and other evidence
  • Case management hearings
• 3 - The hearing
• 4 - The decision making process for regulatory decisions
• • Determining the facts
  • Deciding what should be done in the light of the facts found

Introduction - Improving customer choice on direct marketing

On 26 July 2023 we issued our summer consultation which included proposals for direct marketing. The consultation ran for 12 weeks until 18 October 2023.

We received 440 written responses to the consultation from the following categories of respondents:

• 253 from a member of the public
• 75 from a person representing a charity and/or non-profit
• 35 from a person representing a gambling business
• 9 from a person representing a licensing authority or other regulator
• 8 from a person representing a professional body, including academic organisations
• 8 from a person representing a trade association
• 37 from a person, responding in a personal capacity who is or has worked in a gambling business
• 13 from an academic, responding as an individual
• 2 not answered.

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Last updated: 1 May 2024

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