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Fourth National Lottery Licence: Regulatory Handbook

The Commission’s regulatory handbook sets out our regulatory approach to the National Lottery.

  1. Contents
  2. Volume four: Enforcement Policy  
  3. 25. Enforcement Policy context

25. Enforcement Policy context

25.1 This volume sets out our approach to enforcement and explains how we will use our powers in an appropriate and proportionate manner. It details the enforcement measures available and the factors we are likely to consider when deciding on regulatory action. It also sets out some of the steps we may take ahead of initiating a formal investigation which will determine whether we need to apply enforcement action. We provide an overview of how this volume interacts with the other volumes of this Regulatory Handbook and our wider Regulatory Model in section 2 of this document.

25.2 This Enforcement Policy is not a guide to the law, nor to Section 5 or 6 Licence conditions. Generally, we will apply enforcement actions consistently with this volume. However, in the event of any departures from this, we will explain our reasons for doing so.

25.3 To avoid duplication and inconsistencies and ensure we take the most appropriate action, we will, as necessary, work with other regulators and law enforcement agencies to ensure we coordinate our respective powers.

25.4 The rest of volume four is structured as follows:

  • section 25 gives an outline to our general enforcement principles
  • section 26 describes our risk-based escalation (and de-escalation) of enforcement activity, and how we may initially respond once we are aware of a compliance risk
  • section 27 captures the different stages within a formal investigation
  • section 28 outlines the process to our final decision including communication of preliminary findings to the Licensee
  • section 29 summarises the possible outcomes of any formal investigation and lists our formal enforcement actions
  • section 30 summarises our approach to regulatory settlements
  • section 31 describes our process to publish findings from our enforcement investigations.
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26. Our general enforcement principles
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