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  1. Public register
  2. Regulatory action register
  3. Sanction for PPB Counterparty Services Limited

PPB Counterparty Services Limited

Account number:
Decision date:
9 May 2023
Financial penalty


1. PPB Counterparty Services Limited ("the Licensee") notified the Gambling Commission ("the Commission"), via a LCCP notification submitted on 26 November 2021, that on 21 November 2021, as a result of human error, a push notification was inadvertently sent to Apple devices linked to accounts of customers that had self-excluded from the Licensee.

2. Following an investigation, the Commission found that the Licensee had failed to comply with paragraphs 2 and 3 of Social Responsibility Code Provision ("SRCP") 3.5.3, requiring licensees to take all reasonable steps to prevent any marketing material being sent to a self-excluded customer and to take steps to remove the name and details of a self-excluded individual from any marketing databases within two days of receiving the completed self-exclusion notification.

3. The Licensee accepted that its actions amounted to a breach of SRCP 3.5.3.

4. The failure to comply with an SRCP is a breach of a licence condition by virtue of section 82(1) of the Gambling Act 2005 ("the Act").

5. The Commission decided to impose a financial penalty on the Licensee under section 121(1) of the Act 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.

6. The Licensee appealed against the said penalty to the First-Tier Tribunal.

7. The Commission and the Licensee agreed to dispose of the appeal by consent and the acceptance by the Licensee of a substitute financial penalty of £490,000.

8. Further, the Licensee agreed to instruct an independent third party to undertake an audit of its marketing communication processes and procedures, at its own expense. 

9. The Commission acknowledges that neither it nor the Licensee received any contacts or complaints from customers in respect of this matter.

10. The Commission further acknowledges that the Licensee proactively notified the Commission of the incident promptly after it occurred, took immediate remedial action, and co-operated fully with the Commission throughout its investigation.

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