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Guidance

Regulatory returns guidance

Guidance for information collected in the Regulatory Returns service by licensing sector.

Published
4 May 2021

Last updated
30 September 2024 - Changes

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Contents

Operational information

Group Question Guidance
Operational events Complaints logged by the operator Record the number of complaints that you have logged within the period covered by the regulatory return.
Our codes of practice require operators to log complaints made about any aspect of the conduct of the licensed activities, other than those that are resolved at the first stage of the operator’s complaints resolution procedure. This means that those complaints that are resolved very readily need not be recorded for the Gambling Commission. The number of complaints logged within the reporting period needs to be recorded irrespective of the outcome.
A complaint is an expression of dissatisfaction made to the licensee about any aspect of the conduct of licensed activities. This means that complaints relating purely to commercial issues (such as the provision of non-gambling services) would not need to be logged, as they would not indicate a possible threat to the licensing objectives.
Complaints logged may be directly about the outcome of the customer’s gambling or involve wider concerns about the way in which gambling is conducted by the operator.
Complaints can be expressed orally or in writing and may occur in person, over the telephone, by letter, by email, or via online support.
Operational events Of which, disputes referred to Alternative Dispute Resolution (ADR) entity Disputes are complaints made about the customer’s gambling transaction and have not been resolved at the first stage of the operator’s complaints procedure.
Record the number of complaints that you are aware of that have not been resolved and have been referred to an ADR within the reporting period.
Operational events Self exclusions made during this return period Record the number of self-exclusions made during the regulatory return reporting period.
This return is just in relation to your own self-exclusion scheme. Figures for participation in multi-operator schemes will be collected from the scheme administrator.
Operational events Known breaches of self-exclusion Record the number of times you know a player has breached their self-exclusion agreement.
A player breaches their self-exclusion when they attempt to gain access to your facilities, attempt to gamble (for example, attempt to load credit onto a gaming machine), or actually gambles. It is not limited to occasions where a self-excluded customer is able to gamble and includes attempts to enter premises. This must not include restrictions made on individual products or timeouts. This should include any breaches of either your own self-exclusion scheme or a multi-operator scheme.
Operational events Incidents logged in customer interaction log Record the total number of incidents on the customer interaction log for the period relating to the regulatory return. Licensees must interact with customers in a way which minimises the risk of customers experiencing harms associated with gambling. This must include identifying and interacting with customers who may be at risk of or experiencing harms associated with gambling. A customer interaction is initiated by the operator, and is prompted indicators of gambling harm risks. You should only record here the number of customer interactions related to concerns that a customer’s behaviour may indicate gambling harm. You should not include general customer service communications, marketing, or requests for information for AML purposes. Please read the Commission's Customer Interaction guidance for premises-based operators.
Operational events Individuals included in the customer interaction log You may carry out more than one customer interaction with each customer. Record the number of different people (customers) included in the customer interaction log for the period relating to the regulatory return.
Contributions Are contributions made? Licensees must make an annual financial contribution to one or more organisation(s) which are approved by the Commission, and which between them deliver or support research into the prevention and treatment of gambling-related harms, harm prevention approaches and treatment for those harmed by gambling (LCCP Code 3.1.1).
Select the appropriate option (Yes or No) to whether you have made a contribution during the period relating to the regulatory return.
Contributions Contributions made via trade body If you are a trade association or body member and your contribution was made through them please select ‘Yes’. If you are not a member of a trade association or body member, or you are but that body does not make a contribution then select ‘No’.
Contributions Trade body Please state the name of the trade body that made the contribution on your behalf.
Contributions Value of contribution Record the value of your contribution. If you have apportioned your contribution across a number of sectors you should record the amount relevant to the licensed activity covered by the regulatory return. That is, if your business completes more than one regulatory return, your Research, Education Treatment (RET) contribution should be divided between the different sectors and recorded in the relevant returns.
Do not record the company’s total contribution in full on each regulatory return - only complete this section in the period that you make the contribution. In all other quarters this section should be marked as ‘No’.
Contributions Date of contribution Enter the date the contribution was made.
Contributions Details of contribution Enter details relating to the contribution.
Premises Overview Total number of active premises Provide the total number of active premises (those offering a licensed activity) as at the end date of this return.
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Financial information
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