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  1. Public register
  2. Regulatory action register
  3. Sanction for Daub Alderney Limited
Sanction

Daub Alderney Limited

Account number:
Decision date:
2 July 2021
Outcomes:
Financial penalty and Warning

Details

After a hearing before the Regulatory Panel, and following a review of the operating licence undertaken against Daub Alderney Limited (the Licensee), the Commission found that the Licensee:

  • breached Paragraphs 2 and 3 of licence condition 12.1.1 – (Anti Money Laundering – Prevention of money laundering and financing)
  • breached licence Condition 12.2.12 Anti-money laundering measures of operators based in foreign jurisdictions
  • failed to comply with Paragraph 1(e) of social responsibility code provision (SRCP) 3.4.1 (Customer Interaction) and from 31 October 2019 paragraphs 1 and 2 of SRCP 3.4.1
  • failed to comply with SRCP 1.1.2 – responsibility for third parties (paragraphs 2(a) and (c))
  • breached licence condition 16.1.1 – Responsible placement of digital adverts (paragraph 1c)
  • failed to comply with SRCP 5.1.6 (Compliance with advertising codes)

In line with the Commission’s Licensing, compliance and enforcement policy statement, the Indicative sanctions guidance and the Statement of principles for determining financial penalties, the Commission has decided to: 

  • issue a formal warning in respect of breaches of licence conditions identified
  • impose a financial penalty of £5,850,000

The Licensee has co-operated with the Commission throughout the investigation.

This decision is currently subject to appeal. 

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