Following a review of the operating licence undertaken against Nichola Aitken t/a Regency Racing (the Licensee), the Commission found that the Licensee:
• breached paragraphs 1, 2 and 3 of Licence Condition 12.1.1 Anti-money laundering - Prevention of money laundering and terrorist financing
• breached Licence Condition 15.3.1 - General and regulatory returns
• breached Social responsibility code provision 3.1.1 - Combating problem gambling
• breached Social responsibility code provision 3.4.1 - Customer Interaction
• breached Social responsibility code provision 3.5.6 - Self Exclusion
• breached Social responsibility code provision 6.1.1 - Complaints and disputes
• failed to comply with Ordinary code provision 2.1.2 - Anti-money laundering - other than casino
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:
• impose a warning under section 117(a) of the Gambling Act 2005, and
• impose a financial penalty of £25,000.00.
The Licensee has co-operated with the Commission throughout the investigation.