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Information on the incident or changes that approved Test Houses are required to report to us.
Published: 27 January 2022
Last updated: 27 January 2022
This version was printed or saved on: 2 December 2023
Online version: https://www.gamblingcommission.gov.uk/licensees-and-businesses/guide/test-house-information-reporting
Overview: Approved Test Houses are required to report to us any incident or change that could have a significant impact on the delivery or structure of their business and/or ability to deliver and/or uphold the testing framework.
Approved Test Houses must notify us of the occurrence of any reportable changes or incidents. Details of the events to be reported are set out in the following table.
They must do this as soon as reasonably practicable and in any event within five working days of becoming aware of the event.
The Test House must notify us of such changes or incidents by email to firstname.lastname@example.org.
Emails should be sent using the following format:
On receipt of an email relating to a reportable change or incident we may request additional information.
|Reportable Change or Incident||Description||Guidance|
|Key event (Test Houses) 1: Winding up of companies||A Test House must submit a key event report to us if it is presented with a petition for winding up for a company being a direct entity with controlling interest of an approved Test House, the making of a winding up order, or if the direct entity with controlling interest enters administration or receivership.||Provide the reasons behind the events and a copy of the petition, if relevant. Give details of any administrators acting on the company’s behalf. Tell us if the business is continuing to trade, what information that company has provided to its customers, and who is now running the business, or if the company is looking for a buyer, if relevant.|
|Key event (Test Houses) 2: Changes to shareholders||A Test House must submit a key event report to us if any person who (whether or not already a shareholder or member) becomes a shareholder or member holding 10% or more of the issued share capital of the company or its holding company.||Provide the name, date of birth and address of any new shareholders or members with 10% or more of the issued share capital.|
|Key event (Test Houses) 3: Changes to key positions||A Test House must submit a key event report to us if a person is appointed to, or a person ceases to occupy, a key position.||A key person in a Test House includes all directors, board members or anyone with influence who hold key positions with overall authority and responsibility (including, but not limited to) CEO, COO, Head of Finance, Head of Quality Control, Head of Compliance, Technical Director, or equivalent positions. Tell us who has been appointed, or who has left their position. Provide the name, address, and date of birth of the individuals concerned, along with the data of the change. If someone has left a position and has not been replaced, explain how this position be covered.|
|Key event (Test Houses) 4: Organisational changes||A Test House must submit a key event report to us if there is any material change(s) in the Test House structure or the operation of its business, specifically linked to gambling related testing.||A ‘material change’ includes (but is not limited to) acquisitions, mergers and significant restructures or redundancies. Provide details of the change and the new arrangements.|
|Key event (Test Houses) 5: Address changes||A Test House must submit a key event report to us if it changes its Head Office or Registered address.||Provide details of the new address and date of the change.|
|Key event (Test Houses) 6: Regulatory investigations||A Test House must submit a key event report to us if it is subject to an investigation by a professional, statutory, regulatory, or government body into its activities which could reasonably be expected to raise doubts about the Test Houses continued suitability to test gambling products.||Tell us the name of the professional, statutory, regulatory, or government body conducting the investigation and details of the investigation and any adverse report, penalties, fines, or sanctions imposed. You need to inform us at the outset of the investigation, when there are initial findings, and at the conclusion of the investigation. Provide copies of reports received from the investigating body. You must tell us about investigations by UK and overseas bodies, but you do not need to inform us of investigations initiated by us.|
|Key event (Test Houses) 7: Criminal investigations||A Test House must submit a key event report to us if it (i.e. the Test House business) is subject to a criminal investigation which may reasonably cause us to question whether the Test House’s measures to keep crime out of gambling had failed.||Tell us the name of the investigating body and details of the investigation and any convictions, sentences, penalties, fines, or sanctions imposed. You need to inform us at the outset of the investigation, when there are initial findings, and at the conclusion of the investigation. Provide copies of reports received from the investigating body. You must tell us about investigations by UK and overseas bodies, but you do not need to inform us of investigations initiated by us.|
|Key event (Test Houses) 8: Loss, suspension or relinquishment of BS/ENISO 17025 accreditation||A Test House must submit a key event report to us if it loses its BS/ENISO 17025 accreditation, that accreditation is suspended, or it ceases to be accredited.||Tell us the date the accreditation was lost, suspended, or relinquished. Explain the reasons for the loss, suspension, or relinquishment of the accreditation. Identify if this change will this affect any licensees testing and, if so, have they been informed. Provide a copy of any applicable reports or correspondence (e.g. notification of loss accreditation from the accreditor).|
|Key event (Test Houses) 9: Customer data security breach||A Test House must submit a key event report to us if any security breach to its environment, has an adverse effect on the confidentiality of customer data.||Tell us the nature of the security breach, how many customers it affected and the impact or potential impact of the breach. If the breach is one which is reportable to the Information Commissioner’s Office, tell us the date you reported it to them. Further details on notifying security breaches are on our website.|
Should a Test House wish to report something that is not a specified key event but which we may reasonably be expected to know, they should report this to us in the same way.