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  2. Licensees and businesses

Policies and procedures

Criteria

Written policies and procedures that explain how the business will meet the following licensing objectives in regard to all the activities applied for:

  • keeping crime and disorder out of gambling
  • ensuring that gambling is fair and open
  • ensuring that children and vulnerable people are protected from being harmed by gambling
  • promoting social responsibility in gambling.

The policies must cover all Licence Conditions and Codes of Practice that will apply to the business if a licence is granted and must specifically include a complaints procedure and who will be the ADR for the business, the self-exclusion procedure, how the business will keep up-to-date with any changes to LCCP and legislation and, for premises-based businesses, evidence of a local risk assessment.

Submitting an industry trade body toolkit is not evidence by itself that you have satisfactory policies. You must demonstrate how you will be implementing the procedures in the toolkit specifically for your business.

Businesses providing remote casino, bingo and virtual event betting and/or non-remote casinos must provide an anti-money laundering policy.

For medium to large businesses

The policies should be supported wherever possible by process maps/flow diagrams which show how they will work in practice, where the escalation and decision points are, who is responsible for making those decisions and what their role in the business is. They should highlight any potential risks to the licensing objectives and the business and detail how these risks will be managed and mitigated.

All businesses (except gaming machine technical and gambling software licences) must conduct a money laundering and terrorist financing risk assessment, which should then be used to inform the operator’s associated policies, procedures and controls. Operators must assess and effectively manage the money laundering and terrorist financing risks applicable to their business, and the responsibility for this lies with the licensed operator, who is accountable for any shortcomings.

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Last updated: 9 January 2024

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Wording amended

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