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  3. The prevention of money laundering and combating the financing of terrorism

Guidance

The prevention of money laundering and combating the financing of terrorism

Gambling Commission guidance for remote and non-remote casinos: Fifth edition (Revision 3).

Published
13 November 2020

Last updated
30 May 2023 - Changes

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  1. Contents
  2. Part 5 - Nominated officer
  3. 1 - Nominated officer

1 - Nominated officer

Casino operators must appoint an individual in their firm65 as a nominated officer66, who is responsible for:

  • receiving internal disclosures under Part 7 (opens in a new tab) of POCA and Part III (opens in a new tab) of the Terrorism Act
  • deciding whether these should be reported to the NCA
  • if appropriate, making such external reports
  • ensuring that a defence (appropriate consent) is applied for as necessary.

Each entity licensed by the Commission should have a dedicated nominated officer

This is as a matter of good practice. Where the function is performed by one person for multiple licensees within the same group, the Commission would seek assurances, with supporting information, that the nominated officer has sufficient oversight of AML across all those licensed entities. This does not allow the nominated officer function to be outsourced to an individual independent of the firm. The requirement to appoint a nominated officer does not apply where the casino operator does not employ, or act in association with, any other person67.

The casino operator must inform the Commission of the identity of the individual appointed as the nominated officer within 14 days of the appointment. They must also inform us of any subsequent appointment to that position.68

The nominated officer's role

The role of the nominated officer is to apply the same rigour in their approach to managing money laundering, terrorist financing and proliferation financing risk as the operator does in managing its commercial systems. The nominated officer should report to the board internally (or to the chief executive for small organisations), and direct to the NCA in relation to known or suspected money laundering, terrorist financing or proliferation financing activity (including criminal spend), request a defence, or both (appropriate consent).

The nominated officer should be able to monitor the day-to-day operation of the operator’s AML and CTF policies and respond promptly to any reasonable request for information made by the Commission or law enforcement bodies. The nominated officer is expected to take ultimate managerial responsibility for AML issues, but this does not diminish senior management responsibility for AML.

The term 'nominated officer' is used and defined in the Regulations69 .

References

65In the context of the Regulations, 'firm' means the holder of a casino operating licence issued by the Commission.
66Regulation 21(3).
67Regulation 21(6).
68Regulation 21(4).
69Regulation 3(1).

Next section
Standing of the nominated officer
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