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Guidance

Regulatory returns guidance

Guidance for information collected in the Regulatory Returns service by licensing sector.

Contents


1 - Operational information

GroupQuestionGuidance
Workforce informationTotal GB employees Record the total number of employees. This is the number of individuals employed at a given time, irrespective of the hours they work. Count each person as one regardless of whether they work full time or part time.
An employee is anyone that your organisation directly pays from its payroll(s), in return for carrying out a full time or part time job or being on a training scheme. This includes workers who are employed in relation to the licensed activity who are:
  • paid directly from this business’s payroll
  • temporarily absent but still being paid, for example on maternity leave
  • furloughed on the Coronavirus Job Retention Scheme.
Do not include:
  • employees not employed in relation to the licensed activity
  • former employees only receiving a pension
  • self-employed workers
  • working owners who are not paid via PAYE
  • staff who are not directly employed (for example, agency staff)
  • volunteers.
If employees work across a group, you should record them on the regulatory return for the licensed activity that uses most of their time.
Workforce informationTotal non GB employeesRecord the total number of employees. This is the number of individuals employed at a given time, irrespective of the hours they work. Count each person as one regardless of whether they work full time or part time.
An employee is anyone that your organisation directly pays from its payroll(s), in return for carrying out a full time or part time job or being on a training scheme. This includes workers who are employed in relation to the licensed activity who are:
  • paid directly from this business’s payroll
  • temporarily absent but still being paid, for example on maternity leave
  • furloughed on the Coronavirus Job Retention Scheme.
Do not include:
  • employees not employed in relation to the licensed activity
  • former employees only receiving a pension
  • self-employed workers
  • working owners who are not paid via PAYE
  • staff who are not directly employed (for example, agency staff)
  • volunteers.
If employees work across a group, you should record them on the regulatory return for the licensed activity that uses most of their time.
Workforce informationWorkforce totalCalculated field - no user entry required.
Accounts and registrationsFunds held in customer accounts (GB)The total funds held in customer accounts for GB customers only.
Accounts and registrationsFunds held in customer accounts (Non GB)The total funds held in customer accounts for non-GB customers.
RegistrationsFunds held in customer accounts (Total)Calculated field - no user entry required.
RegistrationsTotal number of accounts for Gambling Commission licensed activities (GB)Total number of accounts for Gambling Commission licensed activities: the total number of registered customer accounts must be reported regardless of whether they are active, dormant or suspended. GB-based customers only.
RegistrationsTotal number of accounts for Gambling Commission licensed activities (Non GB)Total number of accounts for Gambling Commission licensed activities: the total number of registered customer accounts must be reported regardless of whether they are active, dormant or suspended. Non-GB based customers only.
RegistrationsTotal number of accounts for Gambling Commission licensed activities (Total)Calculated field - no user entry required.
RegistrationsTotal number of active accounts for Gambling Commission licensed activities (GB)Total number of active for Gambling Commission licensed activities: the total number of accounts that have been used by customers to gamble on Commission licensed activities within the last 12 months, and should not include suspended or dormant accounts. The last 12 months refers to the 12-month period prior to the end date of this regulatory return. GB-based customers only.
RegistrationsTotal number of active accounts for Gambling Commission licensed activities (Non GB)Total number of active for Gambling Commission licensed activities: the total number of accounts that have been used by customers to gamble on Commission licensed activities within the last 12 months, and should not include suspended or dormant accounts. The last 12 months refers to the 12-month period prior to the end date of this regulatory return. Non GB-based customers only.
RegistrationsTotal number of active accounts for Gambling Commission licensed activities (Total)Calculated field - no user entry required.
RegistrationsTotal active customers: Casino (GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. GB-based customers only.
RegistrationsTotal active customers: Casino (Non GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. Non GB-based customers only.
RegistrationsTotal active customers: Casino (Total)Calculated field - no user entry required.
RegistrationsTotal active customers: Poker – Peer to Peer only (GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. GB-based customers only.
RegistrationsTotal active customers: Poker – Peer to Peer only (Non GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. Non GB-based customers only.
RegistrationsTotal active customers: Poker – Peer to Peer only (Total)Calculated field - no user entry required.
RegistrationsTotal active customers: Bingo (GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. GB-based customers only.
RegistrationsTotal active customers: Bingo (Non GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. Non GB-based customers only.
RegistrationsTotal active customers: Bingo (Total)Calculated field - no user entry required.
RegistrationsTotal active customers: Betting (GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. GB-based customers only.
RegistrationsTotal active customers: Betting (Non GB)Total number of active accounts by licensed activity: the total number of active accounts should be provided by activity (casino, betting, bingo and poker (peer to peer)) where active accounts are those that have been used to gamble in the last 12 months. Non GB-based customers only.
RegistrationsTotal active customers: Betting (Total)Calculated field - no user entry required.
RegistrationsNumber of new registrations (GB)Provide the number of new account registrations made in the period covered by the return. GB customers only.
RegistrationsNumber of new registrations (Non GB)Provide the number of new account registrations made in the period covered by the return. Non-GB customers only.
RegistrationsNumber of new registrations (Total)Calculated field - no user entry required.
Operational eventsComplaints logged by the operator (GB)Record the number of complaints that you have logged within the period covered by the regulatory return, for GB customers only. Our codes of practice require operators to log complaints made about any aspect of the conduct of the licensed activities, other than those that are resolved at the first stage of the operator’s complaints resolution procedure. This means that those complaints that are resolved very readily need not be recorded for the Commission. The number of complaints logged within the reporting period needs to be recorded irrespective of the outcome. A complaint is an expression of dissatisfaction made to the licensee about any aspect of the conduct of licensed activities. This means that complaints relating purely to commercial issues (such as the provision of non-lottery services) would not need to be logged, as they would not indicate a possible threat to the licensing objectives. Complaints logged may be directly about the outcome of the customer’s gambling or involve wider concerns about the way in which gambling is conducted by the operator. Complaints can be expressed orally or in writing and may occur in person, over the telephone, by letter, by email, or via online support.
Operational eventsComplaints logged by the operator (Non GB)Record the number of complaints that you have logged within the period covered by the regulatory return, for Non-GB customers only. Our codes of practice require operators to log complaints made about any aspect of the conduct of the licensed activities, other than those that are resolved at the first stage of the operator’s complaints resolution procedure. This means that those complaints that are resolved very readily need not be recorded for the Commission. The number of complaints logged within the reporting period needs to be recorded irrespective of the outcome. A complaint is an expression of dissatisfaction made to the licensee about any aspect of the conduct of licensed activities. This means that complaints relating purely to commercial issues (such as the provision of non-lottery services) would not need to be logged, as they would not indicate a possible threat to the licensing objectives. Complaints logged may be directly about the outcome of the customer’s gambling or involve wider concerns about the way in which gambling is conducted by the operator. Complaints can be expressed orally or in writing and may occur in person, over the telephone, by letter, by email, or via online support.
Operational eventsComplaints logged by the operator (Total)Calculated field - no user entry required.
Operational eventsDisputes logged (GB)Record the number of disputes that you have logged within the period covered by the regulatory return, for GB customers only. Disputes are that subset of complaints which concern the outcome of the customer’s gambling transaction. They do not include wider concerns that may relate to the conduct of the gambling operation. As disputes are a subset of complaints, the number of disputes reported on the regulatory return will also be included in the count of complaints on the regulatory return.
Operational eventsDisputes logged (Non GB)Record the number of disputes that you have logged within the period covered by the regulatory return, for Non-GB customers only. Disputes are that subset of complaints which concern the outcome of the customer’s gambling transaction. They do not include wider concerns that may relate to the conduct of the gambling operation. As disputes are a subset of complaints, the number of disputes reported on the regulatory return will also be included in the count of complaints on the regulatory return.
Operational eventsDisputes logged (Total)Calculated field - no user entry required.
Operational eventsOf which, disputes logged by the operator (GB)Record the number of disputes that you have logged within the period covered by the regulatory return, for GB customers only. Disputes are that subset of complaints which concern the outcome of the customer’s gambling transaction. They do not include wider concerns that may relate to the conduct of the gambling operation. As disputes are a subset of complaints, the number of disputes reported on the regulatory return will also be included in the count of complaints on the regulatory return.
Operational eventsOf which, disputes logged by the operator (Non GB)Record the number of disputes that you have logged within the period covered by the regulatory return, for Non-GB customers only. Disputes are that subset of complaints which concern the outcome of the customer’s gambling transaction. They do not include wider concerns that may relate to the conduct of the gambling operation. As disputes are a subset of complaints, the number of disputes reported on the regulatory return will also be included in the count of complaints on the regulatory return.
Operational eventsOf which, disputes logged by the operator (Total)Calculated field - no user entry required.
Operational eventsOf which, disputes referred to ADR entity (GB)Record the number of disputes that you are aware have been referred to an ADR within the reporting period, for GB customers only.
Operational eventsOf which, disputes referred to ADR entity (Non GB)Record the number of disputes that you are aware have been referred to an ADR within the reporting period, for Non-GB customers only.
Operational eventsOf which, disputes referred to ADR entity (Total)Calculated field - no user entry required.
Operational eventsSelf-exclusions made during the period (GB)Provide information regarding the number of self-exclusions made during the regulatory return reporting period, for GB customers only. This must not include restrictions made on individual products or timeouts which must be recorded separately below. This return is just in relation to your own self-exclusion scheme. Figures for participation in multi-operator schemes will be collected from the scheme administrator.
Operational eventsSelf-exclusions made during the period (Non GB)Provide information regarding the number of self-exclusions made during the regulatory return reporting period, for Non-GB customers only. This must not include restrictions made on individual products or timeouts which must be recorded separately below. This return is just in relation to your own self-exclusion scheme. Figures for participation in multi-operator schemes will be collected from the scheme administrator.
Operational eventsSelf-exclusions made during the period (Total)Calculated field - no user entry required.
Operational eventsKnown breaches of self-exclusion (GB)Record the number of times you know a player has breached their self-exclusion agreement, for GB customers only. A player breaches their self-exclusion when they attempt to gain access to your facilities, attempt to gamble (for example, attempt to use an internet betting account following self-exclusion), or actually gambles. It is not limited to an attempt to gamble, and includes attempts to enter premises or access online gambling facilities. This must not include restrictions made on individual products or timeouts. This should include any breaches of either your own self-exclusion scheme or a multi-operator scheme
Operational eventsKnown breaches of self-exclusion (Non GB)Record the number of times you know a player has breached their self-exclusion agreement, for Non-GB customers only. A player breaches their self-exclusion when they attempt to gain access to your facilities, attempt to gamble (for example, attempt to use an internet betting account following self-exclusion), or actually gambles. It is not limited to an attempt to gamble, and includes attempts to enter premises or access online gambling facilities. This must not include restrictions made on individual products or timeouts. This should include any breaches of either your own self-exclusion scheme or a multi-operator scheme.
This must not include restrictions made on individual products or timeouts. This should include any breaches of either your own self-exclusion scheme or a multi-operator scheme.
Operational eventsKnown breaches of self-exclusion (Total)Calculated field - no user entry required.
Operational eventsSelf-exclusions returning (GB)Self-excluded customers can choose to return to gambling following the completion of their chosen length of self-exclusion. For the reporting period of the regulatory return record the number of individuals who have chosen to return to gambling once their self-exclusion period has ended, for GB customers only. We only expect you to report individuals who return to gambling within the time period that you are required to administer a return to gambling process and a 24-hour cooling-off period. So, for remote operators we expect you to report any customers that return to gambling within 7 years of the end of their self-exclusion. For non-remote operators we expect you to report customers that return to gambling within 6 months of the end of their self-exclusion. This must not include restrictions made on individual products or timeouts. This should include the number of players returning to gambling from either your own self-exclusion scheme or a multi-operator scheme.
Operational eventsSelf-exclusions returning (Non GB)Self-excluded customers can choose to return to gambling following the completion of their chosen length of self-exclusion. For the reporting period of the regulatory return record the number of individuals who have chosen to return to gambling once their self-exclusion period has ended, for Non-GB customers only. We only expect you to report individuals who return to gambling within the time period that you are required to administer a return to gambling process and a 24-hour cooling-off period. So, for remote operators we expect you to report any customers that return to gambling within 7 years of the end of their self-exclusion. For non-remote operators we expect you to report customers that return to gambling within 6 months of the end of their self-exclusion. This must not include restrictions made on individual products or timeouts. This should include the number of players returning to gambling from either your own self-exclusion scheme or a multi-operator scheme.
Operational eventsSelf-exclusions returning (Total)Calculated field - no user entry required.
Operational eventsPeople who have gambled were unable to verify their age (GB)For the period relating to the regulatory return, you should record the number of people who, having gambled, were unable to prove they were 18 when challenged, for GB customers only. For the purposes of the regulatory return, a person has gambled once they have inserted money into (or otherwise credited) a gaming machine, electronic gaming terminal or self-service betting terminal, bought in at a gaming table or completed a transaction over the counter. That transaction can include placing a bet or asking to load money on to a gaming machine. A person is unable to prove they are 18 if they either provide identification which shows them to be underage, or do not provide any when challenged. You should not include incidents where a customer is challenged before they have been able to gamble, and is refused service because they are unable to prove they are 18.
Operational eventsPeople who have gambled were unable to verify their age (Non GB)For the period relating to the regulatory return, you should record the number of people who, having gambled, were unable to prove they were 18 when challenged, for Non-GB customers only. For the purposes of the regulatory return, a person has gambled once they have inserted money into (or otherwise credited) a gaming machine, electronic gaming terminal or self-service betting terminal, bought in at a gaming table or completed a transaction over the counter. That transaction can include placing a bet or asking to load money on to a gaming machine. A person is unable to prove they are 18 (or 16 for lotteries) if they either provide identification which shows them to be underage, or do not provide any when challenged. You should not include incidents where a customer is challenged before they have been able to gamble, and is refused service because they are unable to prove they are 18. You should not include incidents where a customer is challenged before they have been able to gamble, and is refused service because they are unable to prove they are 18.
Operational eventsPeople who have gambled were unable to verify their age (Total)Calculated field - no user entry required.
Operational eventsIncidents logged in customer interaction log (GB)Operators are required to implement policies and procedures for customer interaction where they have concerns that a customer’s behaviour may indicate problem gambling. This includes logging these customer interactions. You should record the total number of incidents on the customer interaction log for the period relating to the regulatory return, for GB customers only. A customer interaction is initiated by the operator, and is prompted by observed behaviour or activity by a customer, which may indicate problem gambling. A customer interaction can be carried out by a staff member, or for remote gambling could also be an automated interaction if this has been triggered by a customer’s activity. It may include providing information on responsible gambling, tools to help manage gambling, or signposting to sources of help or support. Your customer interaction log should be in a format that works for you. You could include the identity or other identifier of the customer involved, the behaviour or activity that prompted the interaction, the advice or support given, and the outcome of the interaction. You should only record here the number of customer interactions related to concerns that a customer’s behaviour may indicate problem gambling. You should not include general customer service communications, marketing, or requests for information for AML purposes.
Operational eventsIncidents logged in customer interaction log (Non GB)Operators are required to implement policies and procedures for customer interaction where they have concerns that a customer’s behaviour may indicate problem gambling. This includes logging these customer interactions. You should record the total number of incidents on the customer interaction log for the period relating to the regulatory return, for Non-GB customers only. A customer interaction is initiated by the operator, and is prompted by observed behaviour or activity by a customer, which may indicate problem gambling. A customer interaction can be carried out by a staff member, or for remote gambling could also be an automated interaction if this has been triggered by a customer’s activity. It may include providing information on responsible gambling, tools to help manage gambling, or signposting to sources of help or support. Your customer interaction log should be in a format that works for you. You could include the identity or other identifier of the customer involved, the behaviour or activity that prompted the interaction, the advice or support given, and the outcome of the interaction. You should only record here the number of customer interactions related to concerns that a customer’s behaviour may indicate problem gambling. You should not include general customer service communications, marketing, or requests for information for AML purposes.
Operational eventsIncidents logged in customer interaction log (Total)Calculated field - no user entry required.
Operational eventsIndividuals in interaction (GB)You may carry out more than one customer interaction with each customer. Record the number of different people (customers) included in the customer interaction log for the period relating to the regulatory return, for GB customers only. Even if you do not know someone’s full personal details we expect that you will be able to identify them in some way.
Operational eventsIndividuals in interaction (Non GB)You may carry out more than one customer interaction with each customer. Record the number of different people (customers) included in the customer interaction log for the period relating to the regulatory return, for Non-GB customers only. Even if you do not know someone’s full personal details we expect that you will be able to identify them in some way.
Operational eventsIndividuals in interaction (Total)Calculated field - no user entry required.
Operational eventsRestrictions made on individual products (GB)If an operator gives customers the option to block access to some, but not all gambling products, please provide the number of individuals who have made use of this option during the reporting period, for GB customers only. For example, a customer blocks their access to casino games but is able to continue placing sports bets. This must not include figures relating to self-exclusions which is a separate data point. If the operator does not offer a facility to exclude by product, they should leave this section blank.
Operational eventsRestrictions made on individual products (Non GB)If an operator gives customers the option to block access to some, but not all gambling products, please provide the number of individuals who have made use of this option during the reporting period, for Non-GB customers only. For example, a customer blocks their access to casino games but is able to continue placing sports bets. This must not include figures relating to self-exclusions which is a separate data point. If the operator does not offer a facility to exclude by product, they should leave this section blank.
Operational eventsRestrictions made on individual products (Total)Calculated field - no user entry required.
Operational eventsTimeouts (GB)Provide the number of individuals who have made use of the remote time out option (LCCP Social Responsibility Code Provision 3.3.4) during the reporting period, for GB customers only. This must not include figure relating to self-exclusions which is a separate data point.
Operational eventsTimeouts (Non GB)Provide the number of individuals who have made use of the remote time out option (LCCP Social Responsibility Code Provision 3.3.4) during the reporting period, for Non-GB customers only. This must not include figure relating to self-exclusions made in accordance with LCCP Social Responsibility Code Provision 3.5.1.
Operational eventsTimeouts (Total)Calculated field - no user entry required.
Operational eventsTime and money limits (GB)Record the number of times money/time limits are voluntarily set in the period relating to the regulatory return by GB customers only. One player setting 3 limits in the reporting period or 3 players setting 1 limit should both be recorded as 3, 6 total if they both occurred. Removals should not be counted so a player that removes a limit does not affect the sum. Do not include Timeouts which is a separate data point. (08/21)
Operational eventsTime and money limits (Non GB)Record the number of times money/time limits are voluntarily set in the period relating to the regulatory return, by Non-GB customers only. One player setting 3 limits in the reporting period or 3 players setting 1 limit should both be recorded as 3, 6 total if they both occurred. Removals should not be counted so a player that removes a limit does not affect the sum. Do not include Timeouts which is a separate data point. (08/21).
Operational eventsTime and money limits (Total)Calculated field - no user entry required.
ContributionsAre contributions made?Select the appropriate option (yes/no).
ContributionsContributions made via trade bodyIf you are a trade association/body member and your contribution was made through them please select ‘Contribution via Trade Body’. You should also record the name of the trade association/body.
ContributionsTrade bodyPlease state the name of the trade body that made the contribution on your behalf.
ContributionsValue of contributionRecord the value of your contribution. If you have apportioned your contribution across a number of sectors you should record the amount relevant to the licensed activity covered by the regulatory return. That is, if your business completes more than one regulatory return, your RET contribution should be divided between the different sectors and recorded in the relevant returns. Do not record the company’s total contribution in full on each regulatory return.
ContributionsDate of contributionEnter the date the contribution was made.
ContributionsDetails of contributionEnter details relating to this contribution.
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