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Compliance assessments

Published:
17 May 2021
Updated:
9 June 2021
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If you are required to take part in a compliance assessment we will contact you by phone first and follow up with a letter.

The letter will explain which type of assessment you will take part in:

  • full assessment
  • targeted assessment
  • thematic assessment

You will need contact us to confirm you can make the assessment. If you cannot attend it's important you let us know as soon as possible.

There may be circumstances where your business could be involved in an unannounced compliance visit from Gambling Commission staff.

Full assessments

A full assessment is a complete review of your business's compliance with the law, licence conditions and codes of practice.

The assessment usually takes a full working day.

It's important you prepare for your assessment, as there are steps you will need to take beforehand.

Gambling Commission staff also have the right to conduct unannounced full compliance assessments. They should always identify themselves when they arrive and show their staff identification.

Thematic assessments

A thematic assessment will look at a specific topic or area of focus within your business.

As gambling is a fact-moving industry, a thematic assessment could be on a new consumer trend or change in technology.

Other enforcement agencies, like the police, may also take part in a thematic assessment.

Targeted assessment

A targeted assessment will focus on a specific area of compliance. You will need to show your business is meeting the requried standards set out in the Licence Conditions and Codes of Practice (LCCP).

The assessment will usually take a full working day.

It's important you prepare for your assessment, as there are steps you will need to take beforehand.

Planned and thematic compliance assessments - what you may expect

Planned Assessments

Planned assessments are conducted as part of the Commission’s programme of assessments to review the compliance of operating licence holders with the Gambling Act 2005 (opens in a new tab) and the Licence Conditions and Codes of Practice (LCCP).

Thematic Assessments

Thematic assessments are conducted as part of the Commission’s responsibility to assess operating licence holders, in specific areas, when the Licence Conditions and Codes of Practice are updated.

Website Assessments

Website assessments are conducted as part of the Commission’s responsibility to assess operating licence holders with the information and content that is provided to consumers prior to interacting with operators gambling facilities.

Contact

An engagement letter will be issued containing a request for your policies and procedures. A selection of customer accounts, based on a criteria specified by the Commission, will also be required. There may also include a request for a test account in order to view the customer journey through the site.

The letter will also include an invitation to join an online meeting using the Microsoft Teams application.

A few days before the assessment advance notice will be sent to you listing the customer accounts the Commission would like to review.

Assessment

We will begin with an explanation surrounding the assessment, advise the meeting will be recorded and will be retained for a 90-days only. Copies of the recording can be issued upon request.

Introductions will then take place, from both parties, and include a brief overview of everyone’s job role.

Then a screen share will be requested so the customer accounts previously identified can be reviewed individually. There will be a series of questions around your knowledge of these customers which may be detailed and searching. We will then provide feedback on each of the viewed customer accounts highlighting both good and poor practice.

We will summarise the assessment meeting, advise of any possible outcomes and an approximate time line for our decision to be issued via electronic letter.

Reactive Compliance

Reactive compliance is conducted following information received from an operating licence holder as instructed through their Licence Conditions or following any Gambling Commission investigations.

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