Lee Charles Nicholas
Details
Following a licence review of Mr Charles Lee’s Personal Management Licence (“PML”), the Commission determined the Licensee breached paragraphs 1 and 2 of the general conditions attached to personal licences under Section 75 of the Gambling Act 2005 (the Act) and issued him with a warning under section 117(1)(a) of the Act.
As a PML holder acting as Chief Executive Officer (“CEO”) for Eaton Gate Gaming Limited (“the Licensed Entity”), with responsibility for overall management and direction of the Licensed Entity’s business or affairs, Mr Lee failed to take all reasonable steps to ensure the Licensed Entity’s compliance with:
- paragraph 1 of licence condition 12.1.1 – Anti-Money Laundering (Prevention of money laundering and terrorist financing) between October 2020 and 24 May 2021
- paragraphs 2 and 3 of licence condition 12.1.1 – Anti-Money Laundering (Prevention of money laundering and terrorist financing) from October 2020 until updated processes came into effect in February 2021
- paragraph 1(b) of Social Responsibility Code of Practice (“SRCP”) 3.4.1 – Customer Interaction from August 2020 until May 2021
- paragraph 1(c) of SRCP 3.4.1 – Customer Interaction from August 2020 until February 2021
- paragraph 2 of SRCP 3.4.1 – Customer Interaction from 12 May 2020 to 6 May 2021
- paragraph 2 of SRCP 5.1.9 - Other marketing requirements from January 2021 to 1 March 2021.
An assessment of the Licensed Entity was undertaken in January 2021. The review of the Licensed Entity commenced in July 2021 and concluded in December 2022.
Mr Lee has been open and transparent throughout our engagement with him.