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What you need to send us when you apply for an operating licence

These are the supporting documents you will need for your application for an operating licence for your gambling business. Note that medium to large businesses will also need to provide additional supporting documents for remote or online aspects of their businesses:

Document nameSmallMedium to LargeRemote (online)
Annual reportsYesYesNot applicable
Annual returnsYesYesNot applicable
Audited accountsYesYesNot applicable
Bank statementsYesYesNot applicable
Bonus and or profit sharing schemesYesYesNot applicable
Business planYesYesNot applicable
Certificate of incorporationYesYesNot applicable
Compliance with remote technical standard (RTS)Not applicableNot applicableYes
ConstitutionYesYesNot applicable
Credit reportYesYesNot applicable
Existing licencesYesYesNot applicable
ForecastsYesYesNot applicable
Gambling software supply detailsNot applicableNot applicableYes
Group structure chartYesYesNot applicable
Individual identity documentsYesYesNot applicable
Individual's compensationYesYesNot applicable
Insolvency, administration and or liquidation reportYesYesNot applicable
Loan agreementsYesYesNot applicable
Management structureYesYesNot applicable
Memorandum of association and articles of associationYesYesNot applicable
Operational model mapNot applicableNot applicableYes
Ownership structureYesYesNot applicable
Partnership agreementYesYesNot applicable
Policies and proceduresYesYesNot applicable
Public debt and or equity offeringsYesYesNot applicable
Rules of playYesYesNot applicable
Share certificatesYesYesNot applicable
System diagramNot applicableNot applicableYes
System diagram for end to end processNot applicableNot applicableYes
Terms and conditionsYesYesNot applicable
Testing strategyNot applicableNot applicableYes
Trust documents (trust deed, letter of wishes, letter of consent from Trustees)YesYesNot applicable

Annual reports

Criteria

Any quarterly, semi-annual or annual reports you have lodged with any government authority or regulator in the past five years.

Annual returns

Criteria

All annual returns you have provided to any regulator for the past five years.

This includes:

  • annual returns to any tax authority
  • annual returns to Companies House or overseas equivalent
  • annual returns to the Charity Commission or overseas equivalent.

Audited accounts

Criteria

If your business is a limited company that has already been trading for a year. Audited accounts should also be provided for any parent and/or holding company.

Bank statements

Criteria

For all businesses

Bank statements for all accounts operated by your business for the last six months. These must be in the name of the applicant and show sort code and International Bank Account Number (IBAN) Business Identifier Code.

For new businesses not yet operating bank accounts. If part of a larger corporate structure, bank statements of the parent company for the last six months.

For medium to large businesses

If not part of a larger corporate structure, other equivalent evidence of financial standing will be required and the Commission may request additional information.

Bonus and profit sharing schemes

Criteria

Details of any bonus schemes, profit sharing arrangements, pension schemes, retirement schemes, deferred compensation arrangements and similar plans you operate for any employees. You must include:

  • the name and specifications of each scheme
  • the trustee of each scheme where applicable
  • the full terms and conditions of each scheme
  • what type of employee/individual each scheme is available to
  • what criteria an employee/individual must meet to qualify for each scheme.

Business Plan

Criteria

For small businesses

A brief document that sets out the reason for the licence application, the activities that will be undertaken, how the business is being funded, where the business will operate, the medium term goals of the business and how success will be measured.

For medium to large businesses

A detailed document that includes:

  • organisational background
  • details of facilities to be provided
  • marketing plan
  • financial plan
  • risk evaluation and risk management plan
  • governance and management framework
  • legal framework in which the business is operating
  • business objectives for the next 12 months
  • success criteria
  • any other relevant information.

Certificate of incorporation

Criteria

If your business is a limited company.

Compliance with remote technical standard (RTS)

Remote (Online)

Criteria

Written policies and procedures detailing how you will comply with the remote gambling and software technical standards (RTS).

Constitution

Criteria

Any constitution or constitutional documents. These are documents which define the existence of the entity and regulate the structure and control of the entity and its members.

Credit report

Criteria

If your business is a limited company based outside the United Kingdom

If your business is a partnership based outside the United Kingdom you will need to send personal credit reports.

Existing licences

Criteria

Copies of existing gambling-related licences if your business is already licensed outside Great Britain. If applications are in progress in jurisdictions outside GB but not yet completed please provide details.

Forecasts

Criteria

For small businesses

A 12 month profit/loss forecast including a commentary on the assumptions that have been made in creating the forecast.

For medium to large businesses

A three year profit/loss forecast including a commentary on the assumptions that have been made in creating the forecast.

Gambling software supply details

Remote (Online)

Criteria

The name, address and licence number of all of the organisations who provide gambling software to the Applicant. Third party suppliers of software for use in the provision of gambling facilities to customers in Great Britain must be licensed by the Gambling Commission. You may include this in the operational model map so this does not have to be a separate document.

If you are applying for a gambling software licence, you must supply policies and procedures detailing how the business supplies gambling software via remote communication (eg File Transfer Protocol, server downloads). You may include this in the operational model map so this does not have to be a separate document.

Group structure chart

Criteria

If your business is a limited company and is part of a larger corporate structure. The chart should show all the companies within the group structure and demonstrate the nature of the link and the percentage of holdings. With a complicated group structure a commentary should also be provided in the business plan.

Individual identity documents

Criteria

If you are a sole trader, you must provide personal identity documents.

Individual's compensation

Criteria

A list of individuals you have compensated more than USD$250,000 (or GBP £200,000) in the last financial year.

Compensation refers to dividends, bonuses, salaries, employee contract benefits/arrangements or any other remuneration.

The list must include:

  • the full name of the individual
  • the amount of compensation they received during the last financial year
  • what form the compensation took
  • the reason the compensation was paid; the date the compensation started
  • the date it ended or is due to end
  • any terms or conditions of the compensation.

Insolvency, administration and or liquidation reports

Criteria

Any insolvency, administration or liquidation reports relating to the business (or any parent or sister or subsidiary company of the business).

Loan agreements

Criteria

For small businesess

For sole proprietors and partnerships, if a loan has been obtained to fund the business provide a copy of the loan agreement.

For all other businesses, provide copies of all loan agreements linked to the company.

For medium to large businesses

For all limited businesses, provide copies of all loan agreements linked to the business.

Management structure

Criteria

The structure should show all key management positions.

Memorandum of association and articles of association

Criteria

If your business is a limited company.

Operational model map

Remote (Online)

Criteria

An operational model map which shows the location and provider/operator of all systems and activities used by the business to deliver gambling services and facilities.

The diagram needs to show the location of key equipment, and the relationship between the systems, activities, and third party providers, including how they interact and/or link together.

Ownership structure

Criteria

For all businesses

The chart should show who has a financial interest in the business. Anyone with a 3% equity or more in the company must be named and the percentage of their holding shown. Anyone with a 10% or more equity is a financial controller and must submit an Annex A application or, if responsible for a key management function, a personal licence application.

For medium to large businesses

If the business is part of a larger corporate structure it is acceptable to provide a single chart to show the group structure and the ownership structure. With a complicated ownership structure a commentary should also be provided in the business plan.

Partnership agreement

Criteria

If your business is a limited company.

Policies and procedures for documents

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.

Public debt and or equity offerings

Criteria

Documents relating to any public debt or equity offerings you have lodged in the past 12 months.

Rules of play

Criteria

Provide copies of the rules of play for the gambling being offered (where applicable).

Share certificates

Criteria

If the business is limited by share certificates for all shareholdings in the business of 10% or more.

System diagram

Remote (Online)

Criteria

The system diagram and commentary should provide the names and details of any aspects of the provision that the applicant outsources via third-party providers for example:

  • payment services
  • age identity providers
  • geolocation verification providers
  • marketing
  • customer service
  • fraud detection
  • server hosting and data storage
  • delivery support
  • administration.

System diagram for end to end process

Remote (Online)

Criteria

A system diagram details the end-to-end process showing how the gambling activity will work from when a person registers, moves through into the gambling process to the pay-out of winnings providing commentary of the activities that happen at each stage. The system diagram and commentary should also include information on the location of the remote equipment.

Terms and conditions

Criteria

Provide copies of the terms and conditions which customers must agree to prior to gambling (where applicable). If the terms and conditions are not yet finalised please provide a draft copy.

Testing strategy

Remote (Online)

Criteria

Procedures that show how you will comply with the testing strategy for compliance with remote gambling and software technical standards. The procedures should include the identity of a third party test house or a declaration of compliance with good practice if testing is to be carried out in-house.

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