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  3. Sanction for Ballard Adrian Phillip
Sanction

Ballard Adrian Phillip

Account number:
Decision date:
17 December 2019
Outcomes:
Warning

Details

Following a licence review, the Commission decided that it was appropriate to issue Mr Adrian Ballard with a warning under section 117(1)(a) of the Gambling Act 2005. The reason for this decision was because, as a Personal Management Licence holder at Casino 36 Limited, Mr Adrian Ballard failed to ensure Casino 36:

  • complied with the requirement to complete a risk assessment as required by Licence condition 12.1.1 – Anti-money laundering – Prevention of money laundering and terrorist financing.
  • complied with the requirements of social responsibility Code 3.4.1 Customer interaction code of practice issued under Section 24 Gambling Act 2005 to be treated as a Licence Condition.

This meant that Mr Ballard had breached condition 1 of his personal management licence. In reaching our decision we concluded that Mr Ballard was not solely accountable for the failings which were systematic within the business. Mr Ballard has been open and transparent throughout his engagement with the Commission.

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