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Regulatory actions can be viewed on our website at gamblingcommission.gov.uk/public-register
Generated: 29 March 2024
Decision date: 14 February 2024
Account number: 52865
Type of action: Sanction
Outcomes: Warning
Following a licence review of Mr Neil Banbury’s Personal Management Licence (PML), the Commission determined the Licensee breached paragraph 1 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 General Manager for 32Red Limited (32Red) and Platinum Gaming Limited (PGL), with responsibility for overall management and direction of the licensee’s business or affairs and marketing, Mr Banbury failed to take reasonable steps to ensure:
Mr Banbury has been open and transparent throughout our engagement with him.
Decision date: 13 February 2024
Account number: 38932
Type of action: Sanction
Outcomes: Warning
Following a licence review of Mr Timothy Cook’s Personal Management Licence (PML), the Commission determined the Licensee breached paragraph 1 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 the PML holder acting as the Head of Regulatory Compliance, Money Laundering Reporting Officer (MLRO), and General Counsel of 32Red Limited (32Red) and Platinum Gaming Limited (PGL), Mr Cook failed to take reasonable steps to ensure:
1. 32Red’s compliance with the requirements of:
2. PGL’s compliance with the requirements of:
Mr Cook has been open and transparent throughout our engagement with him.
Decision date: 8 February 2024
Account number: 38070
Type of action: Sanction
Outcomes: Warning
Following a licence review, Mr Steven Templeman’s Personal Management Licence (PML / the Licensee) the Commission determined the Licensee breached paragraph 1 of the general conditions attached to personal licences under Section 75 of the Gambling Act 2005 and issued him with a warning under section 117(1)(a) of the Gambling Act 2005 (the Act).
As a Personal Management Licence holder employed by TGP Europe Limited (TGP) as the Money Laundering Reporting Officer (MLRO) and Director of strategic growth, Mr Templeman failed to take reasonable steps to ensure TGP’s compliance with the requirements of paragraph 2 of social responsibility code provision 3.4.1 (Customer interaction) relevant at the time of the failings. Mr Templeman also failed to take reasonable steps to ensure TGP Europe Limited had appropriate policies, procedures, and controls to prevent money laundering and terrorist financing in breach of licence condition 12.1.1 and 12.1.2.
Mr Templeman has been open and transparent throughout our engagement with him.
Decision date: 8 February 2024
Account number: 55799
Type of action: Sanction
Outcomes: Warning
Following a licence review of Mr Neil Alan Munro’s Personal Management Licence (PML / the Licensee), the Commission determined the Licensee breached paragraph 1 of the general conditions attached to personal licences under Section 75 of the Gambling Act 2005 and issued him with a warning under section 117(1)(a) of the Gambling Act 2005 (the Act).
As a Personal Management Licence holder employed by TGP Europe Limited (TGP) with responsibility for regulatory compliance, Mr Munro failed to take reasonable steps to ensure TGP’s compliance with the requirements of paragraph 2 of social responsibility code provision 3.4.1 (Customer interaction) relevant at the time of the failings. Mr Munro also failed to take reasonable steps to ensure TGP had appropriate policies, procedures, and controls to prevent money laundering and terrorist financing in breach of licence condition 12.1.1 and 12.1.2.
Mr Munro has been open and transparent throughout our engagement with him.
Decision date: 19 January 2024
Account number: 60741
Type of action: Sanction
Outcomes: Warning
Following a review of the operating licence of Schlep Games, Inc. (“the Licensee”), the Commission found that the Licensee:
The failure to comply with a SRCP is a breach of a licence condition by virtue of section 82(1) of the Gambling Act 2005 (“the Act”).
In particular, the Commission found that the Licensee, between 17 January and 21 March 2023, failed to register with GAMSTOP, the national multi-operator self-exclusion scheme.
In line with the Commission’s Licensing, compliance and enforcement policy statement and the Indicative sanction guidance, the Commission has decided to impose a formal warning under section 117 (1)(a) of the Act.
Officials acknowledge that the Licensee co-operated with the Commission throughout the investigation and took swift and effective corrective steps to address the identified failings.
Decision date: 19 January 2024
Account number: 60741
Type of action: Sanction
Outcomes: Warning
Following a section 116 regulatory review of the operating licence of Schlep Games, Inc. (“the Licensee”), the Commission found that the Licensee:
In particular, the Commission found that the Licensee, between 21 April 2023 and 25 September 2023 had inadequate information security Controls, policies and procedures.
In line with the Commission’s Licensing, compliance and enforcement policy statement and the Indicative sanction guidance, the Commission has decided to impose a formal warning under section 117 (1)(a) of the Gambling Act 2005.
Officials acknowledge that the Licensee co-operated with the Commission throughout the investigation and took swift and effective corrective steps to address the identified failings.
Decision date: 15 December 2023
Account number: 2016
Type of action: Sanction
Outcomes: Warning
Following a review of the operating licence of Leisure Electronics Limited (“the Licensee”), the Commission found that the Licensee:
“Licensees must participate in the national multi-operator self-exclusion scheme.”
The failure to comply with a SRCP is a breach of a licence condition by virtue of section 82(1) of the Gambling Act 2005 (“the Act”)
In line with the Commission’s Licensing, compliance and enforcement policy statement and the Indicative sanction guidance, the Commission has decided to impose a formal warning under section 117 (1)(a) of the Act.
The Licensee co-operated with the Commission throughout the investigation and took steps to address the identified failings.
Decision date: 22 November 2023
Account number: 38905
Type of action: Sanction
Outcomes: Financial penalty, Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence of Gamesys Operations Limited (the Licensee), the Commission found that between November 2021 and July 2022 the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and advised that it had taken corrective steps. The Commission found no evidence of criminal monies being deposited by the specific customers looked at during its review.
Decision date: 14 November 2023
Account number: 57730
Type of action: Sanction
Outcomes: Warning
Following a review of the operating licence of Kalooki Sportsbook Limited (“the Licensee”), the Commission found that the Licensee:
In particular, the Commission found that the Licensee, between 28 March 2022 and 7 February 2023, had inadequate information security facilities, policies and procedures.
In line with the Commission’s Licensing, compliance and enforcement policy statement and the Indicative sanction guidance, the Commission has decided to impose a formal warning under section 117 (1)(a) of the Act.
Officials acknowledge that the Licensee co-operated with the Commission throughout the investigation and took swift and effective corrective steps to address the identified failings.
Decision date: 2 October 2023
Account number: 18078
Type of action: Sanction
Outcomes: Revoked
Following a licence review, the Commission have determined to revoke the Personal Functional Licence (PFL) of Mr Antonius Paul Geelen (“the Licensee”) under section 119(1) of the Gambling Act 2005 (the Act).
The Commission found the Licensee:
Decision date: 20 September 2023
Account number: 51250
Type of action: Settlement
Outcomes: Divestment;50947, Payment in lieu of financial penalty;690947, Commission costs and Public statement
The Gambling Commission commenced a section 116 regulatory review of Lindar Media Limited (the Licensee), Combined Remote Operating Licence Number 051250-R-328289-006, following a compliance assessment conducted in September 2022.
The regulatory review found failings in Lindar Media Limited’s processes aimed at preventing Money Laundering (ML) and protecting individuals from being harmed or exploited by gambling.
Officials found that, between July 2021 and September 2022, Lindar Media Limited failed to comply with the following Licence Conditions and Codes of Practice (LCCP):
Taking into account the remedial action taken by Lindar Media Limited prior to and immediately following the compliance assessment, and in line with our Statement of principles for licensing and regulation, Lindar Media Limited will pay a total of £690,947.
More information about this case can be found in our public statement on the Commission's website: Lindar Media Limited Public Statement
Decision date: 19 July 2023
Account number: 45627
Type of action: Sanction
Outcomes: Warning
Following a review of the operating licence undertaken against Shaftesbury Casino Limited (the Licensee), the Commission found the Licensee:
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:
The Licensee did not disclose at an early stage, information which the Commission would reasonably need to have been aware of in exercising its regulatory functions.?This includes, in particular, anything that is likely to have a material impact on the Licensee’s business. The Licensee chose to cease paying regulatory settlement instalments without advance contact with, or approval by, Commission officials. This was particularly concerning for the Commission given regulatory settlements are entered into with a degree of trust that Licensees will work openly and in a timely manner to ensure the terms of such settlements are fully met.
The Commission expects Licensees to work with it in an open and cooperative way and to inform it of any matters it would reasonably need to be aware of in exercising its regulatory functions. These include in particular matters that will have a material impact on the Licensee’s business. The Licensee chose to suspend agreed monthly payments to a nominated charity due to financial constraints. However, this decision was made without regard to the impact this would have on the charity meeting its obligations and planned deliverables. Commission officials were concerned the Licensee decided to cease meeting the requirements of a regulatory settlement in favour of ensuring personal tax liabilities were met, entirely of its own volition, without discussion with the Commission.
Decision date: 18 July 2023
Account number: 1058
Type of action: Settlement
Outcomes: Divestment;1052717, Payment in lieu of financial penalty;3250000 and Public statement
This investigation followed a compliance assessment and resulted in the commencement of a section 116 regulatory review of Done Bros (Cash Betting) Limited’s (the Licensee/Done Bros) Non-Remote General Betting Standard, Pool Betting and Ancillary Remote Licence number: 001058-N-102469-014. The regulatory review found failings in the Licensee’s processes which were aimed at Safer Gambling (SG) and preventing Money Laundering (ML).
Between January 2021 and December 2022, Done Bros failed to comply with certain Licence Conditions and Codes of Practice (LCCP), specifically:
Taking into account remedial action taken by the Licensee and in line with our Statement of principles for licensing and regulation, the Licensee will voluntarily make a payment in lieu of a financial penalty of £3,250,000, which includes a divestment of £1,052,717.
More information about this case can be found in our public statement on the Commission's website: Done Bros (Cash Betting) Limited Public Statement (gamblingcommission.gov.uk)
Decision date: 15 June 2023
Account number: 39380
Type of action: Settlement
Outcomes: Divestment;494841, Commission costs;11308, Public statement and Payment in lieu of financial penalty;1505158
This investigation followed two compliance assessments which resulted in the commencement of a section 116 regulatory review1 of Videoslots’ Limited (Videoslots).
The regulatory review found failings in the implementation of Videoslots’ processes which were aimed at preventing Money Laundering (ML) and ensuring safer gambling.
Between October 2019 and February 20222, Videoslots failed to comply with certain Licence Conditions and Codes of Practice (LCCP), specifically:
The investigation, and our subsequent regulatory review, found:
In line with our Statement of principles for licensing and regulation, Videoslots will make payments in lieu of a financial penalty of £2,000,000.
Further information about this case can be found on our website: Videoslots Limited Public Statement (gamblingcommission.gov.uk)
Decision date: 12 June 2023
Account number: 57417
Type of action: Sanction
Outcomes: Warning
Following a review of the operating licence of LEBOM Limited (“the Licensee”), the Commission found that the Licensee:
The failure to comply with a SRCP is a breach of a licence condition by virtue of section 82(1) of the Gambling Act 2005 (“the Act”).
In line with the Commission’s Licensing, compliance and enforcement policy statement and the Indicative sanction guidance, the Commission has decided to impose a formal warning under section 117 (1)(a) of the Act.
The Licensee co-operated with the Commission throughout the investigation and took steps to address the identified failings.
Decision date: 6 June 2023
Account number: 8950
Type of action: Sanction
Outcomes: Revoked
Following a licence review, the Commission have determined to revoke Mr Glenn Johnson licence under section 119 (1) of the Gambling Act 2005. The Commission found the Licensee:
Decision date: 1 June 2023
Account number: 48756
Type of action: Sanction
Outcomes: Financial penalty
Following the submission of a key event by DZBT Limited (“the Licensee”) and an investigation outside of a Licence review, the Gambling Commission (“the Commission”) found that the Licensee failed to comply with:
The failure to comply with a SRCP is a breach of a licence condition by virtue of section 82(1) of the Gambling Act 2005 (“the Act”).
In line with the Commission’s Licensing, compliance and enforcement policy statement and the Statement of principles for determining financial penalties, the Commission has decided to impose a financial penalty of £700.00 under section 121(1) of the Act.
The Licensee has also voluntarily divested itself of the Gross Gambling Yield (GGY) which occurred as a result of its failings in the sum of £3,638.20.
Commission Officials note the remedial action taken by the Licensee and acknowledge that the Licensee has co-operated with the Commission throughout the investigation.
Decision date: 23 May 2023
Account number: 39326
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;305150, Public statement, Commission costs;9079, Other action, Payment in lieu of financial penalty;199500 and Divestment;105650
This investigation followed the commencement of a section 116 regulatory review of Skill on Net Limited (the Licensee). The regulatory review found failings in the Licensee’s processes which were aimed at safer gambling and preventing Money Laundering (ML).
Between the period of January 2021 and December 2022, the Licensee failed to comply with the following Licence Conditions and Codes of Practice (LCCP):
Taking into account remedial action taken by the Licensee and in line with our Statement of principles for licensing and regulation, the Licensee will voluntarily make a payment in lieu of a financial penalty of £305,150, which includes a £105,650 divestment, and agreement to conduct an independent third-party audit as regards the effective implementation of the Licensee’s AML and safer gambling policies, procedures and controls within 12 months of the conclusion of the Licence Review.
More information about this case can be found on our website: Skill On Net Limited Public Statement (gamblingcommission.gov.uk)
Decision date: 9 May 2023
Account number: 39439
Type of action: Sanction
Outcomes: 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.
Decision date: 4 April 2023
Account number: 9177
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against Star Racing Limited (“the Licensee”), the Commission found that the Licensee breached:
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:
Decision date: 28 March 2023
Account number: 39225
Type of action: Settlement
Outcomes: Divestment;284361, Payment in lieu of financial penalty;12500000, Public statement, Variation to apply conditions to licence and Commission costs
This investigation followed a compliance assessment and resulted in the commencement of a section 116 regulatory review of WHG (International) Limited (the Licensee/WHG).
The regulatory review found failings in the Licensee’s processes which were aimed at safer gambling and preventing Money Laundering (ML).
Between May 2020 and 18 October 2021, WHG failed to comply with certain Licence Conditions and Codes of Practice (LCCP), specifically:
Taking into account remedial action taken by the Licensee and in line with our Statement of principles for licensing and regulation, the Licensee will voluntarily make a payment in lieu of a financial penalty of £12,500,000, which includes a divestment of £284,361.57, and will vary its licence to add additional licence conditions.
More information about this case can be found on the Commission's website, here: WHG (International) Limited Public Statement (gamblingcommission.gov.uk)
Decision date: 28 March 2023
Account number: 39264
Type of action: Settlement
Outcomes: Divestment;218310, Payment in lieu of financial penalty;3750000, Commission costs, Variation to apply conditions to licence and Public statement
This investigation followed a compliance assessment and resulted in the commencement of a section 116 regulatory review of Mr Green Limited (the Licensee/MRG). The regulatory review found failings in the Licensee’s processes which were aimed at safer gambling. and preventing Money Laundering (ML).
Between May 20203 and 18 October 2021, MRG failed to comply with certain Licence Conditions and Codes of Practice (LCCP), specifically:
Taking into account remedial action taken by the Licensee and in line with our Statement of principles for licensing and regulation, the Licensee will voluntarily make a payment in lieu of a financial penalty of £3,750,000, which includes a £218,310.20 divestment, and will vary its licence to add additional licence conditions.
More information about this case can be found on the Commission's website, here: Mr Green Limited Public Statement (gamblingcommission.gov.uk)
Decision date: 28 March 2023
Account number: 2752
Type of action: Settlement
Outcomes: Divestment;244026, Payment in lieu of financial penalty;2999850, Commission costs, Variation to apply conditions to licence and Public statement
This investigation followed a compliance assessment and resulted in the commencement of a section 116 regulatory review of William Hill Organization Limited (WH Retail / the Licensee).
The regulatory review found failings in the Licensee’s processes which were aimed at preventing Money Laundering (ML), and safer gambling.
Between 1 January 2020 and 18 October 20212, the Licensee failed to comply with certain Licence Conditions and Codes of Practice (LCCP), specifically:
Taking into account remedial action taken by the Licensee and in line with our Statement of principles for licensing and regulation, the Licensee will voluntarily make a payment in lieu of a financial penalty of £2,999,850 which includes a divestment of £244,026.95, and will vary its licence to add additional licence conditions.
More information about this case can be found on the Commission's website, here: William Hill Organization Limited Public Statement (gamblingcommission.gov.uk)
Decision date: 22 February 2023
Account number: 38898
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following reviews of the operating licence undertaken against TGP Europe Limited (the Licensee), the Gambling Commission (the Commission) found that the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 16 February 2023
Account number: 43173
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;620000, Public statement and Commission costs;3571
This investigation resulted in the commencement of a section 116 regulatory review of Blue Star Planet Limited.
The regulatory review found failings in Blue Star Planet Limited’s processes which were aimed at preventing Money Laundering (ML) and protecting vulnerable people. These failings were identified following a compliance assessment that was conducted by Commission Officials on 22, 23, 24 and 25 June 2021.
Between November 2019 and June 2021, Blue Star Planet Limited failed to comply with the following Licence Conditions and Codes of Practice (LCCP):
Considering remedial action taken by Blue Star Planet Limited and in line with our Statement of principles for licensing and regulation, Blue Star Planet Limited will pay a total of £620,000 in lieu of a financial penalty.
More information about this case can be found on our website: Blue Star Planet Limited Public Statement - Gambling Commission
Decision date: 13 February 2023
Account number: 45322
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against Platinum Gaming Limited (the Licensee), the Commission found that the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 25 January 2023
Account number: 39430
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against 32Red Limited (the Licensee), the Commission found that the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 17 January 2023
Account number: 44662
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;302500, Divestment;35131, Commission costs;15606, Variation to apply conditions to licence and Public statement
Following a compliance assessment carried out in April 2021, the Commission commenced a section 116 regulatory review of Vivaro Limited (Vivaro).
The regulatory review found failings in Vivaro’s processes which were aimed at preventing money laundering (ML) and safer gambling.
Between October 2020 and June 2021 Vivaro failed to comply with certain Licence conditions and codes of practice (LCCP), specifically:
In line with our Statement of principles for licensing and regulation, Vivaro will make payments in lieu of a penalty package of £337,631.
More information about this case can be found in the Commission's public statement on its website.
Decision date: 11 January 2023
Account number: 3741
Type of action: Sanction
Outcomes: Warning
Following a licence review, the Commission decided to issue Mr Jean Pierre Houareau with a warning under section 117(1)(a) of the Gambling Act 2005.
The reason for this decision is as a Personal Management Licence holder whilst holding the specified management office of providing PT Entertainment Services (PTES) with ‘overall management and direction of the licensee’s business or affairs, Mr Jean Pierre Houareau failed to ensure:
In reaching our decision we concluded that Mr Houareau was not solely accountable for the failings within the business.
Mr Houareau has been open and transparent throughout our engagement with him.
Decision date: 9 January 2023
Account number: 2091
Type of action: Sanction
Outcomes: Financial penalty
The Commission found In Touch Games Limited (the Licensee) had breached:
The failure to comply with an SRCP is a breach of a licence condition of by virtue of section 82(1) of the Gambling Act 2005 (“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, the Commission has decided to impose a financial penalty of £6,133,310 under section 121(1) of the Act.
Commission Officials note the Licensee co-operated with the Commission and acknowledged the failings identified during the assessment and took immediate remedial action
Decision date: 3 January 2023
Account number: 39126
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against TonyBet (“the Licensee”), the Commission found that the Licensee breached:
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:
The Commission has noted the Licensee’s ongoing improvements programme and the Licensee’s cooperation throughout.
Decision date: 22 December 2022
Account number: 41552
Type of action: Sanction
Outcomes: Warning
Following a licence review, the Commission determined to issue Mr Dmitry Shabunya with a warning under section 117(a)(a) of the Gambling Act 2005.
The Commission found the Licensee:
• breached a condition of his personal licence, in that he failed to notify the Commission within 10 working days of a key event, namely his dismissal for gross misconduct
The Licensee cooperated with the Commission during course of the review.
Decision date: 8 December 2022
Account number: 44448
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against Eaton Gate Gaming Limited (“the Licensee”), the Gambling 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)
• failed to comply with social responsibility code of practice (“SRCP”) 3.4.1 – Customer Interaction
• breached SRCP 5.1.9, code of practice issued under section 24 of the Gambling Act 2005, so as to be treated as a licence condition
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:
(i) impose a warning under section 117 (1) (a) of the Gambling Act 2005 (“the Act”) in respect of the breaches identified
(ii) attach an additional condition to the Licensee’s operating licence under section 117(1)(b) of the Act requiring:
the Licensee must undertake a third-party audit within 12 months of the conclusion of the review. The purpose of the audit is to examine whether the Licensee is effectively implementing its anti-money laundering and social responsibility policies, procedures and controls in accordance with its regulatory requirements. The Licensee must provide the Commission with a copy of the Audit report within five working days of it being received
(iii) impose a financial penalty of £480,305 under section 121 of the Act.
The Licensee co-operated with the Gambling Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 14 November 2022
Account number: 39483
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against AG Communications Limited (“the Licensee”), the Commission found that the Licensee breached:
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:
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 22 September 2022
Account number: 47768
Type of action: Sanction
Outcomes: Financial penalty and Warning
Following a review of the operating licence undertaken against NSUS Limited (the Licensee), the Commission found that the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation.
Decision date: 12 September 2022
Account number: 1950
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against Corbett Bookmakers Limited (the Licensee), the Commission found that the Licensee:
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:
i. impose a warning under section 117 (1) (a) of the Gambling Act 2005 (the Act)
ii. attach additional conditions to the Licensee’s operating licence under section 117(1)(b) of the Ac
The Licensee must undertake a third-party audit within 12 months of the conclusion of the review. The purpose of the audit is to examine whether the Licensee is effectively implementing its anti-money laundering and social responsibility policies, procedures and controls in accordance with its regulatory requirements.
iii. impose a financial penalty of £215,600 under section 121 of the Act.
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 8 September 2022
Account number: 39544
Type of action: Sanction
Outcomes: Financial penalty and Warning
Following a review of the operating licence undertaken against Petfre (Gibraltar) Limited (“the Licensee”), the Commission found that between October 2019 and December 2020 the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and took immediate corrective steps to address the identified failings. The Commission’s review of the specific customers identified during the Compliance assessment found no evidence of criminal spend with the Licensee.
Decision date: 5 September 2022
Account number: 39372
Type of action: Sanction
Outcomes: Financial penalty
Following an investigation outside of a licence review, the Commission found that Betway Limited (“the Licensee”) failed to comply with paragraphs 1 and 2 of SRCP 5.1.6 – Compliance with advertising codes, which requires the following:
The failure to comply with a SRCP is a breach of a licence condition of by virtue of section 82(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, the Commission has decided to impose a financial penalty of £408,915 under section 121(1) of the Act.
Commission Officials note the remedial action that was taken by the Licensee and acknowledge that the Licensee has co-operated with the Commission throughout the investigation.
Decision date: 25 August 2022
Account number: 8835
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;681893, Divestment;681893, Public statement and Commission costs;7831
This investigation resulted in the commencement of a section 116 regulatory review of Spreadex Limited (Spreadex). The Commission commenced its regulatory review on 2 June 2021, following concerns identified in a compliance assessment conducted in May 2021.
The regulatory review found failings in Spreadex’s procedures which were aimed at preventing Money Laundering (ML) and protecting vulnerable people.
Between January 2020 and May 2021 Spreadex breached the Licence Conditions and Codes of Practice (LCCP), specifically:
Taking into account remedial action taken by Spreadex and in line with our Statement of Principles for licensing and regulation, Spreadex will pay a total of £1,363,786 in lieu of a financial penalty.
More information about this case can be found on the Commission’s website.
Decision date: 17 August 2022
Account number: 54743
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;13455952, Divestment;544048, Public statement, Variation to apply conditions to licence and Commission costs;1
This investigation followed a compliance assessment and resulted in the commencement of a section 116 regulatory review of LC International Limited (LCI), Combined Remote Operating Licence. The regulatory review found failings in LCI’s processes which were aimed at preventing Money Laundering (ML) and safer gambling.
Between December 2019 and October 2020, LCI failed to comply with certain Licence Conditions and Codes of Practice (LCCP), specifically:
Taking into account remedial action taken by LCI and in line with our Statement of Principles for licensing and regulation, LCI will voluntarily divest itself of £544,048.03 and pay £13,455,952 in lieu of a financial penalty resulting in a total payment in lieu of a financial penalty of £14,000,000.
More information can be found on the Commission's public statement into this case.
Decision date: 17 August 2022
Account number: 1611
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;2787150, Divestment;212849, Public statement, Variation to apply conditions to licence and Commission costs;1
This investigation followed a compliance assessment and resulted in the commencement of a section 116 regulatory review1 of Ladbrokes Betting & Gaming Limited (LBG). The regulatory review found failings in LBG’s processes which were aimed at preventing Money Laundering (ML) and safer gambling.
Between December 2019 and October 2020 LBG failed to comply with certain Licence Conditions and Codes of Practice (LCCP), specifically:
Taking into account remedial action taken by LBG and in line with our Statement of principles for licensing and regulation, LBG will voluntarily divest itself of £212,849.86 and pay £2,787,150.14 in lieu of a financial penalty resulting in a total payment of £3,000,000.
More information about this case can be found on the
Decision date: 1 August 2022
Account number: 39173
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against Smarkets (Malta) Limited (“the Licensee”), the Commission found that the Licensee:
• breached paragraph 1, 2 and 3 of licence condition 12.1.1 – Anti-Money Laundering (Prevention of money laundering and terrorist financing)
•failed to comply with social responsibility code of practice (SRCP) 3.4.1 – Customer Interaction
•failed to act in accordance 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:
(i)impose a warning under section 117 (1) (a) of the Gambling Act 2005 (the Act) in respect of the breaches identified
(ii) attach an additional condition to the Licensee’s operating licence under section 117(1)(b) of the Act requiring the Licensee to conduct a third-party audit within 12 months of the conclusion of the review, to examine whether the Licensee is effectively implementing its anti-money laundering and social responsibility policies, procedures and controls
(iii) impose a financial penalty of £630,000 under section 121 of the Act.
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings. The Commission’s review of the specific customers identified during the Compliance assessment found no evidence of criminal spend with the Licensee. The Licensee has co-operated with the Commission throughout the investigation and taken appropriate remedial action to address the identified failings.
Decision date: 11 July 2022
Account number: 39198
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against LeoVegas Gaming PLC (the Licensee), the Commission found that between October 2019 and October 2020 the Licensee:
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:
“The Licensee must undertake a third-party audit within 12 months of the conclusion of the review. The purpose of the audit is to examine whether the Licensee is effectively implementing its anti-money laundering and social responsibility policies, procedures and controls in accordance with its regulatory requirements.
The Licensee must provide the Commission with a copy of the Audit report within 5 working days of it being received by it.”
The Commission’s review of the specific customers identified during the Compliance assessment found no evidence of criminal spend with the Licensee. The Licensee has co-operated with the Commission throughout the investigation and taken appropriate remedial action to address the identified failings.
Decision date: 15 June 2022
Account number: 841
Type of action: Sanction
Outcomes: Revoked
Following a licence review under section 116 of the Gambling Act 2005 (“the Act”), the Commission determined to revoke the operating licence issued to Martin Henry Bailey (“the Licensee”), under section 119(1) of the Act.
The Commission found the Licensee:
1. Breached the following conditions of its operating licence:?
2. Breached section 82 of the Act by failing to comply with the following social responsibility code provisions:?
3. was unsuitable to carry on the licensed activities.?
Decision date: 17 May 2022
Account number: 39335
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;86000, Divestment;89718, Public statement and Commission costs;12466
This investigation resulted in the commencement of a section 116 regulatory review of Progress Play Limited’s, (Progress Play). The Commission commenced its regulatory review on 14 August 2020.
The regulatory review found failings in Progress Play’s processes which were aimed at preventing money laundering and protecting vulnerable people. Progress Play failed to comply with the Licence conditions and codes of practice (LCCP), specifically:
Taking into account remedial action taken by Progress Play and in line with our Statement of principles for licensing and regulation, Progress Play will make a payment in lieu of a financial penalty and divestment to the sum of £175,718.00 It will also pay Commission costs of £12,466.35.
More information about this case can be found on the Commission’s website.
Decision date: 17 May 2022
Account number: 39175
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;345261, Divestment;154739, Public statement and Commission costs;14074
This investigation resulted in the commencement of a section 116 regulatory review of Jumpman Gaming Limited (Jumpman). The Commission commenced its regulatory review on 3 September 2020 following concerns identified in a compliance assessment conducted in July 2020.
The regulatory review found failings in Jumpman’s processes which were aimed at preventing money laundering (ML) and promoting safer gambling by protecting vulnerable people. Evidence gathered during the compliance assessment and the subsequent review of the operating licence found Jumpman failed to comply with the Licence Conditions and Codes of Practice (LCCP), specifically:
Further failings of the following LCCP were also identified:
Taking into account remedial action taken by Jumpman and in line with our Statement of principles for licensing and regulation, Jumpman will pay a total of £500,000 in lieu of a financial penalty.
More information about this case can be found on the Commission’s website.
Decision date: 26 April 2022
Account number: 39308
Type of action: Sanction
Outcomes: Conditions attached to the licence, Warning and Suspension
Following a review of the operating licence undertaken against Lottery England Limited (“the Licensee”) the Commission found that the Licensee:
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:
Decision date: 4 April 2022
Account number: 53336
Type of action: Sanction
Outcomes: Warning
Following a licence review, the Commission decided to issue Mr Edward Mackrill 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, responsible for regulatory compliance and as the MLRO at BGO Limited (BGO), he failed to take all reasonable steps to ensure that the way in which he carried out his responsibilities in relation to licensed activities did not place BGO in breach of their licence. In particular:
In reaching our decision we concluded Mr Mackrill was not solely accountable for the failings within the business.Mr Mackrill has been open and transparent throughout our engagements with him.
Decision date: 1 April 2022
Account number: 39669
Type of action: Sanction
Outcomes: Financial penalty
Following an investigation outside of a Licence review, the Gambling Commission (“the Commission”) found that Scout Limited t/a Fanteam (“the Licensee”) failed to comply with:
• Social responsibility code provision (“SRCP”) 3.5.3(2), which states: “Licensees must, as soon as practicable, take all reasonable steps to prevent any marketing material being sent to a self-excluded customer.”
• SRCP 5.1.11, which states: “Unless expressly permitted by law consumers must not be contacted with direct electronic marketing without their informed and specific consent. Whenever a consumer is contacted the consumer must be provided with an opportunity to withdraw consent. If consent is withdrawn the licensee must, as soon as practicable, ensure the consumer is not contacted with electronic marketing thereafter unless the consumer consents again. Licensees must be able to provide evidence which establishes that consent.”
The failure to comply with a SRCP is a breach of a licence condition by virtue of section 82(1) of the Gambling Act 2005 (“the Act”).
In line with the Commission’s Licensing, compliance and enforcement policy statement, the Indicative sanction guidance and the Statement of principles for determining financial penalties, the Commission has decided to impose a financial penalty of £56,700.00 under section 121(1) of the Act.
Commission Officials note the immediate remedial action taken by the Licensee and acknowledge that the Licensee has co-operated with the Commission throughout the investigation.
Decision date: 24 February 2022
Account number: 39576
Type of action: Settlement
Outcomes: Divestment;352000, Payment in lieu of financial penalty;1728000, Commission costs;11000 and Public statement
Following a compliance assessment conducted in March 2020 (the Assessment), the Commission commenced a section 116 regulatory review1 of BV Gaming Limited, trading as BetVictor (BV Gaming). The regulatory review found failings in BV Gaming’s processes which were aimed at preventing money laundering (ML) and protecting vulnerable people.
Between 1 January 2019 to 12 March 2020 BV Gaming failed to comply with the Licence conditions and codes of practice (LCCP), specifically:
BV Gaming submitted a remedial action plan with the Commission within 2 days of receiving the notice commencing the licence review on 7 April 2020, which it then preceded to implement, as it had committed to the Commission to do.
Taking into account remedial action taken by BV Gaming and in line with our Statement of principles for licensing and regulation, BV Gaming will divest £352,000.00, gross gambling yield (GGY) gained as a result of the failings and pay a total of £1,728,000 in lieu of a financial penalty.
Further information about this case can be found on the Commission’s website.
Decision date: 23 February 2022
Account number: 39028
Type of action: Sanction
Outcomes: Financial penalty and Warning
Following a review of the operating licence undertaken against 888 UK Limited (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 paragraph 1 of licence condition 12.1.2 – Anti-Money Laundering (Measures for operators based in foreign jurisdictions)
• failed to comply with paragraphs 1 and 2 of social responsibility code provision of practice (SRCP) 3.4.1 – Customer Interaction
• failed to comply with SRCP 3.9.1 – Identification of individual customers - remote
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:
(i) impose a warning under section 117 (1) (a) of the Gambling Act 2005 (the Act) in respect of the breaches identified
(ii) attach an additional conditions to the Licensee’s operating licence under section 117(1)(b) of the Act requiring the Licensee to conduct a third-party audit within 12 months of the conclusion of the review, to examine whether the Licensee is effectively implementing its anti-money laundering and social responsibility policies, procedures and controls
(iii) impose a financial penalty of £9,409,756.48 under section 121 of the Act.
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings
Decision date: 22 February 2022
Account number: 38718
Type of action: Sanction
Outcomes: Financial penalty
Following an investigation outside of a Licence review, the Commission found that Bonne Terre Limited t/a Sky Betting and Gaming (the Licensee) had failed to comply with:
The failure to comply with an SRCP is a breach of a licence condition of by virtue of section 82(1) of the Gambling Act 2005 (“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, the Commission has decided to impose a financial penalty of £1,170,000 under section 121(1) of the Act.
Commission Officials note the immediate remedial action that was taken by the Licensee and acknowledge that the Licensee has co-operated with the Commission throughout the investigation.
Decision date: 20 January 2022
Account number: 51692
Type of action: Settlement
Outcomes: Divestment;112000, Payment in lieu of financial penalty;5000000, Commission costs;21457 and Public statement
This investigation resulted in the commencement of a section 116 regulatory review of Annexio (Jersey) Limited (Annexio) operating licence. The regulatory review found failings in Annexio’s processes which were aimed at preventing money laundering and protecting vulnerable people.
Between October 2019 and November 2021 Annexio failed to comply with the Licence conditions and code of practice, specifically:
Taking into account the remedial action taken by Annexio and in line with our Statement of principles for licencing regulation, Annexio will pay a total of £612,000 in lieu of a financial penalty.
More information about this case can be found on the Gambling Commission’s website.
Decision date: 20 January 2022
Account number: 38750
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;700557, Commission costs;17093 and Public statement
Following a compliance assessment of Rank Digital Gaming (Alderney) Limited (Rank) failings were identified, which resulted in the commencement of a section 116 regulatory review of its operating licence. The regulatory review found failings in Rank’s processes aimed at protecting vulnerable people.
Between October 2019 and February 2021 Rank failed to comply with the Licence conditions and codes of practice, specifically:
Taking into account remedial action taken by Rank and in line with our Statement of principles for licensing and regulation, Rank will pay a total of £700,557 in lieu of a financial penalty.
More information about this case can be found on the Gambling Commission's website.
Decision date: 22 December 2021
Account number: 39526
Type of action: Sanction
Outcomes: Revoked and Had they not surrendered their licence
The Commission commenced a licence review into the actions of International Multi-Media Entertainments Limited ("IMME") on 17 January 2020, as it had concerns IMME was breaching conditions of its licence and that it was unsuitable to carry out the licensed activities. The Commission subsequently suspended the licence on 16 March 2020, and the operator remained suspended throughout the investigation.
The investigation found, in summary:
As a result of the findings of that investigation, Officials were minded to revoke the operating license.
IMME decided to challenge officials’ preliminary decision at a Regulatory Panel hearing, which was scheduled to take place on 27 and 28 October 2021. On 22 September 2021 IMME surrendered its operating licence.
In line with our Statement of principles for licensing and regulation and our Licensing, compliance and enforcement under the Gambling Act 2005: policy statement, the Commission decided to determine the facts of the case and publish the findings of the investigation, as we consider that there are wider lessons to be learned by the industry about the failings we identified.
Officials are of the view that, had IMME not surrendered its operating licence, it would have revoked the licence.
Further information about the Commission's investigation can be found on our website.
Decision date: 17 December 2021
Account number: 45235
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against Genesis Global Limited (“the Licensee”), the Commission found that the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 14 December 2021
Account number: 5261
Type of action: Sanction
Outcomes: Revoked
Following a licence review, the Commission decided to revoke the Personal Functional Licence issued to Mr Fabio Caltabiano under the provisions of section 119 of the Act on the grounds that he was considered unsuitable to carry on the licensed activities permitted by the licence.
The Commission found that:
• The Licensee had failed to provide the information required by the Commission as part of the Personal License Maintenance process to assess the continued suitability of the Licensee to hold a personal licence.
• The Licensee had failed to cooperate with the review under section 120(1)(c) of the Gambling Act 2005.
Decision date: 2 December 2021
Account number: 39050
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;685000, Commission costs;8789, Variation to apply conditions to licence and Public statement
The Commission carried out an investigation into the actions of Greentube Alderney Limited (“Greentube”). The regulatory review found failings in Greentube’s processes which were aimed at preventing money laundering (ML) and protecting vulnerable people. These failings were found on two of Greentube’s casino and betting websites, admiralcasino.co.uk and bellfruitcasino.com.
The Commission found that between December 2019 and November 2020 Greentube failed to comply with the Licence conditions and codes of practice (“LCCP”), specifically:
Taking into account remedial action taken by Greentube and in line with our Statement of principles for licensing and regulation, the Commission agreed a regulatory settlement with Greentube consisting of:
Decision date: 19 November 2021
Account number: 2355
Type of action: Sanction
Outcomes: Financial penalty and Warning
Following a review of the operating licence undertaken against Buzz Group Limited (the Licensee), the Commission found that the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 13 October 2021
Account number: 43603
Type of action: Settlement
Outcomes: Divestment;241000, Payment in lieu of financial penalty;209000, Public statement and Commission costs;21578
The Commission investigated VGC’s handling of 10 customers following concerns identified at a compliance assessment in July 2019. Our investigation identified failings in the way VGC identified and managed customers who were at higher risk of money laundering and gambling-related harm.
On 24 October 2019, we gave VGC notice that we were commencing a review of its operating licence. That review revealed VGC had breached conditions of its operating licence.
VGC cooperated with our enquiries throughout the course of our investigation and has accepted that the implementation of its policies and procedures in respect of AML and safer gambling were not effective. It has accepted that it failed to act in accordance with conditions of its operating licence between January 2017 and July 2019.
In line with our Statement of principles for licensing and regulation, VGC will pay £241,000 to represent divestment of the amount of financial gain accrued as a result of the accepted failings, and £209,000 in lieu of a financial penalty. It will also pay Commission costs of £21,578.17.
Agreement to the publication of a statement of facts in relation to this case - with the news story/ public statement being linked off the "a statement of facts".
Decision date: 28 September 2021
Account number: 43061
Type of action: Sanction
Outcomes: Revoked
Following a licence review under section 116 of the Gambling Act 2005 (“the Act”), the Commission determined to revoke the operating licence issued to BetIndex Limited, trading as Football Index (“the Licensee”), under section 119(1) of the Act. The Commission found the Licensee:
1) breached the following conditions of its operating licence:
2) failed to take into account the following ordinary code provisions (“OCP”):
3) was unsuitable to carry on the licensed activities.
The Licensee’s operating licence, which was suspended on 11 March 2021, has been fully revoked with immediate effect.
Decision date: 6 September 2021
Account number: 34336
Type of action: Sanction
Outcomes: Financial penalty
‘The Commission found that Nichola Aitken t/a Regency Racing (the Licensee), was operating in breach of a specific condition attached to its ancillary remote operating licence which states:
“This licence is subject to the conditions that:
…
(c) with regards the provision of facilities for betting in circumstances in which each bet made or accepted pursuant to this licence occurs only by means of a telephone or by email, the licensee may only generate an annual gross gambling yield
(i) which is less than the annual gross gambling yield generated by activities authorised by the non-remote operating licence, and
(ii) does not in any event exceed £550,000.”
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 financial penalty of £12,000 under section 121(1) of the Gambling Act 2005.
The Licensee has co-operated with the Commission throughout the investigation’.
Decision date: 6 September 2021
Account number: 34336
Type of action: Sanction
Outcomes: Warning, Financial penalty and Warning
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.
Decision date: 2 September 2021
Account number: 38991
Type of action: Sanction
Outcomes: Conditions attached to the licence, Financial penalty and Warning
Following a review of the operating licence undertaken against EU Lotto Limited (the Licensee), the Commission found that the Licensee:
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:
The Licensee co-operated with the Commission throughout the investigation and took corrective steps to address the identified failings.
Decision date: 16 August 2021
Account number: 3335
Type of action: Sanction
Outcomes: Financial penalty and Warning
Following a review of the operating licence undertaken against Corinthian Clubs Limited t/a Casino At The Corinthian (the Licensee), the Commission found that the Licensee:
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:
The reason for this decision was because the Licensee failed to:
The Licensee co-operated with the investigation and acknowledged the failings.
Decision date: 2 July 2021
Account number: 39022
Type of action: Sanction
Outcomes: Financial penalty and Warning
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:
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:
The Licensee has co-operated with the Commission throughout the investigation.
Decision date: 21 May 2021
Account number: 12863
Type of action: Sanction
Outcomes: Warning
Following a section 116 review of Mr Simon Robert Wilson’s Personal Management Licence (“PML”), which commenced in July 2019, the Commission determined the Licensee breached paragraph 1 and 2 of the general conditions attached to personal licences under Section 75 of the Gambling Act 2005 and issued him with a warning under Section 117(1)(a) of the Gambling Act 2005.
As PML holder, with primary responsibility for the overall management and direction at In Touch Games Limited (“ITG"), the Licensee failed to ensure ITG:
In reaching our decision we concluded that Mr Wilson was not solely accountable for the failings within the business. Mr Wilson accepted at an early stage of our investigation; he has been open, transparent and co-operative throughout the engagement with the Commission. In addition, we took into account that Mr Wilson has voluntarily undertaken AML and social responsibility training.
Decision date: 21 April 2021
Account number: 44004
Type of action: Sanction
Outcomes: Warning
Following a licence review, the Commission decided to issue Mr Roger Parkes with a warning under section 117(1)(a) of the Gambling Act 2005 (the Act).
The reason for this decision was because, as a Personal Management Licence holder employed by Betway Limited responsible for regulatory compliance, Mr Parkes failed to take all reasonable steps to ensure compliance with the requirements of social responsibility code provision 3.4.1 (Customer interaction) relevant at the time of the failings.
In reaching our decision we concluded that Mr Parkes was not solely accountable for the failings within the business.
Mr Parkes has been open and transparent throughout our engagement with him.
Decision date: 30 March 2021
Account number: 23761
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;247000, Public statement and Commission costs;24530
The Commission investigated Double Diamond’s handling of 35 customers following concerns identified at compliance assessments of its four premises in July and August 2019.
Our investigation identified failings in the way Double Diamond identified and managed customers who were at higher risk of money laundering and gambling related harm. These failings stemmed from inadequate anti-money laundering (AML) policies and procedures and the ineffective implementation of safer gambling policies and procedures.
On 24 October 2019, the Commission gave notice to Double Diamond that we were commencing a review of its operating licence. That review revealed Double Diamond had breached a number of conditions of its operating licence.
Double Diamond cooperated with our enquiries throughout the course of our investigation and has accepted its policies and procedures in respect of AML and safer gambling were not appropriate or implemented effectively. It has accepted that it failed to act in accordance with conditions of its operating licence between January 2017 and August 2019.
In line with our Statement of principles for licensing and regulation, Double Diamond agreed to a regulatory settlement consisting of:
Agreement to the publication of a statement of facts in relation to this case - with the news story/ public statement being linked off the "a statement of facts".
Decision date: 30 March 2021
Account number: 1800
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;202500, Commission costs;14794 and Public statement
The Commission investigated Les Croupiers’ handling of 11 customers following concerns identified at a compliance assessment in August 2019.
Our investigation identified failings in the way Les Croupiers identified and managed customers who were at higher risk of money laundering and gambling-related harm. These failings stemmed from Les Croupiers failing to effectively implement its anti-money laundering (AML) and safer gambling policies and procedures.
On 24 October 2019, we gave Les Croupiers notice that we were commencing a review of its operating licence. That review revealed Les Croupiers had breached a number of conditions of its operating licence.
Les Croupiers cooperated with our enquiries throughout the course of our investigation and has accepted that its policies and procedures in respect of AML and safer gambling were not implemented effectively. It has accepted that it failed to act in accordance with conditions of its operating licence between January 2019 and August 2019.
In line with our Statement of principles for licensing and regulation, Les Croupiers has agreed a regulatory settlement consisting of:
Agreement to the publication of a statement of facts in relation to this case - with the news story/ public statement being linked off the "a statement of facts".
Decision date: 30 March 2021
Account number: 45627
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;260000, Commission costs;11690, Public statement and Commission costs;11690
The Commission investigated Shaftesbury’s handling of 12 customers following concerns identified at a compliance assessment in August 2019.
Our investigation identified failings in the way Shaftesbury identified and managed customers who were at higher risk of gambling related harm and who presented a higher risk of money laundering or terrorist financing. These failings stemmed from Shaftesbury failing to identify risks relating to money laundering (AML) and having inappropriate anti-money laundering (AML) and safer gambling policies and procedures.
On 24 October 2019, we gave Shaftesbury notice that we were commencing a review of its operating licence. That review revealed Shaftsbury had breached a number of conditions of its operating licence.
Shaftesbury cooperated throughout the course of our investigation and has accepted that its money laundering and terrorist financing risk assessment was not appropriate and that its policies and procedures in respect of AML and safer gambling were not appropriate nor implemented effectively. It has accepted that it failed to act in accordance with conditions of its operating licence between January 2017 and August 2019.
In line with our Statement of principles for licensing and regulation, Shaftesbury has agreed a regulatory settlement consisting of:
Agreement to the publication of a statement of facts in relation to this case - with the news story/ public statement being linked off the "a statement of facts".
Decision date: 30 March 2021
Account number: 1731
Type of action: Settlement
Outcomes: Payment in lieu of financial penalty;260000, Commission costs;11690 and Public statement
The Commission investigated Clockfair’s handling of 11 customers following concerns identified at a compliance assessment in July 2019.
Our investigation identified failings in the way Clockfair identified and managed customers who were at higher risk of gambling related harm and who presented a higher risk of money laundering or terrorist financing. These failings stemmed from Clockfair failing to identify risks relating to money laundering and having inappropriate anti-money laundering (AML) and safer gambling policies and procedures.
On 24 October 2019, we gave Clockfair notice that we were commencing a review of its operating licence. That review revealed Clockfair had breached a number of conditions of its operating licence
Clockfair cooperated with our enquiries throughout the course of our investigation and has accepted that its money laundering and terrorist financing risk assessment was not appropriate and that its policies and procedures in respect of AML and safer gambling were not appropriate nor implemented effectively. It has accepted that it failed to act in accordance with conditions of its operating licence between January 2017 and July 2019.
In line with our Statement of principles for licensing and regulation, Clockfair has agreed a regulatory settlement consisting of:
Agreement to the publication of a statement of facts in relation to this case - with the news story/ public statement being linked off the "a statement of facts".