Policy
Corporate Governance Framework
Our corporate governance framework sets out the necessary responsibilities and procedures that guarantee we operate properly.
Annex A: Summary of reporting requirements
Gambling by employees
Paragraph
15, 16
Requirement
Employees in a position to influence regulatory decisions (see paragraph 13) must notify the Intelligence lead:
- which operator they gamble with
- any accounts opened.
All employees are required to notify the Intelligence lead of:
- any wins or losses that are significant (more than £500).
And are encouraged to notify:
- any significant wins by their close family or people they have accompanied on visits to gambling premises.
Reported to
Intelligence lead.
Visits to gambling premises
Paragraph
17, 20
Requirement
Employees in Compliance, Enforcement and Intelligence functions can only visit gambling premises (including bookmakers’ premises at race tracks) in their official capacity or with the prior consent of a Director or Programme Director.
Reported to
A Director or Programme Director.
Shareholdings
Paragraph
28
Requirement
All employees must declare to the Head of Finance any business interests (including directorships) or holdings of shares or other securities held by themselves or members of their close family, to the extent which they are aware of them, which they may be able to further as a result of their official position.
Reported to
Head of Finance
Business interests
Paragraph
30
Requirement
If, as a part of their work, employees come into contact with matters concerning a business organisation in which they have an interest, then they must declare that interest to the Head of Finance.
Reported to
Head of Finance
Outside offers of employment
Paragraph
36
Requirement
An employee who is in a position to influence regulatory decisions (see paragraphs 10 and 13) and is leaving the Commission’s employment, must not, within six months of leaving, accept any form of full, part-time or fee-paid employment with a licensee or applicant for a licence without having obtained the Commission's prior written approval. Any such requests should be made in writing to the Head of Human Resources. Such approval will not be withheld unreasonably.
Reported to
Head of Human Resources
Paragraph
38, 39
Requirement
Employees considering an approach from an outside employer which is regulated by the Commission, or which is seeking to be regulated by the Commission, are under a duty to disclose, as soon as possible, the full particulars of any such approach received directly or indirectly from or on behalf of a person or an organisation in or related to the Gambling or Gaming industry, other than in the normal course of their employment with the Commission. Such notification should be made as follows:
- the Chief Executive, or an employee at Director level must inform the Chair or Chief Executive as appropriate
- other employees must inform their Director.
Reported to
Chair and/or Chief Executive or Responsible director, as appropriate.
Gifts and hospitality
Paragraph
49
Requirement
Employees must disclose details of all gifts and hospitality received to the Head of Finance.
Reported to
Head of Finance
Media enquiries
Paragraph
69
Requirement
Employees must refer all media enquiries to the Head of Communications.
Reported to
Board Advisor - Corporate Affairs
Improper conduct
Paragraph
74, 75
Requirement
Employees should refer any suspicion of improper conduct within the Commission (see paragraphs 72 and 73) to:
- in the first instance, the Chief Executive or a Commissioner
- if the response is unsatisfactory, in writing to a DCMS Director.
Reported to
Chief Executive and/or Commissioner and DCMS Director, as appropriate.
Paragraph
76
Requirement
In accordance with the Public Interest Disclosure Act 1998 (opens in new tab), which allows you to raise any concerns in confidence and with a guarantee that the matters will be properly investigated, without damage to you. The Commission’s Public interest disclosure policy is set out in Appendix 4.
Reported to
See Appendix 4.
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Annex B: Insider dealing
Last updated: 27 February 2023
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