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Regulatory returns guidance

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


1 - Operational information

Group Question Guidance
Contributions Are contributions made? Select the appropriate option (yes/no).
Contributions Contributions made via trade body If 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.
Contributions Trade body Please state the name of the trade body that made the contribution on your behalf.
Contributions Value of contribution Record 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.
Contributions Date of contribution Enter the date the contribution was made.
Contributions Details of contribution Enter details relating to the contribution.
Operational events Complaints logged by the operator Record the number of complaints that you have logged within the period covered by the regulatory return.
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 events Of which, disputes referred to ADR entity Record the number of disputes that you are aware have been referred to an ADR within the reporting period.
Operational events Self exclusions made during this return period Provide information regarding the number of self-exclusions made during the regulatory return reporting period.
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 events Known breaches of self-exclusion Record the number of times you know a player has breached their self-exclusion agreement.
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
Note: Non-remote society lotteries are not required to participate in a multi-operator self-exclusion scheme.
Operational events People who have gambled were unable to verify their age 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 (or 16 for lotteries) when challenged.
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 (or 16 for lotteries).
Operational events Incidents logged in customer interaction log Record the total number of incidents on the customer interaction log for the period relating to the regulatory return. A customer interaction is initiated by the operator, and is prompted by observed behaviour or activity by a customer, which may indicate problem gambling. 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 events Individuals included in the customer interaction log 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. Even if you do not know someone’s full personal details we expect that you will be able to identify them in some way.
ELM Managed Do you use External Lottery Managers? An External Lottery Manager (ELM) makes arrangements for a lottery on behalf of a society or local authority but is not a member, officer or employee of the society or local authority. A society or local authority and an ELM must be separate entities and be able to demonstrate that they are independent of each other.
An ELM must hold a lottery manager operating licence before they can promote a society or local authority lottery.
ELM Managed Name of External Lottery Manager Record the names of all External Lottery Managers who have promoted a lottery on your behalf during the period related to the regulatory return.
ELM Managed Gambling Commission Licence Number Provide the licence number of the ELM used to manage the lottery.
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