Guidance

Regulatory decisions: Procedures and guidance for regulatory hearings

Guidance to assist Directors or the Regulatory Panel to carry out their regulatory functions in accordance with our policies and procedures and to comply with the law.

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Published
16 May 2022

Last updated
16 May 2022 - Changes

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Contents

• Regulatory decisions: Procedures and guidance for regulatory hearings

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• 1 - Introduction
• - The purpose of this guidance
• - Scheme of delegations
• - Referral of case to a regulatory hearing
• - The legal framework for decision making
• - Conflicts of interest
• 2 - Preparing for the hearing
• - Introduction
• - Documentary and other evidence
• - Case management hearings
• 3 - The hearing
• 4 - The decision making process for regulatory decisions
• - Determining the facts
• - Deciding what should be done in the light of the facts found

Referral of case to a regulatory hearing

In cases where officials consider that the Commission should exercise its regulatory powers under sections 117, 118 or 119 of the Gambling Act 2005, a ‘minded to’ letter will be sent to the licence holder to inform them of that preliminary conclusion.

Following this letter, licensees have the option to request a hearing before a final decision is made.

For operating licence holders,the hearing will be before the Regulatory Panel; for personal licence holders, the hearing will take place before a Director.

There may also be instances where the particular circumstances of the case mean that it is appropriate for the case to be referred by Gambling Commission officials to the Panel or Director for consideration.

Previous section
Scheme of delegations Next section
The legal framework for decision making

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Last updated: 16 May 2022

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