Nick Arron, lead solicitor for licensing law firm Poppleston Allen, shares how to get ahead of Commission assessments and tighten up your compliance.
Recent experience suggests an increase in Gambling Commission compliance assessments, particularly affecting our adult gaming centres and bingo operators. These assessments aim to ensure adherence to licensing conditions and protect consumer interests.
Why have we had more compliance assessments?
In its youth, the Commission concentrated on online gambling, then shifted attention to casinos and betting shops due to their risks and prevalence. Casinos are high stake and prize, requiring more attention. Their customers can be big spenders from exotic jurisdictions.
Betting shops are by far and away the highest number of gambling premises on our high streets, and despite falling numbers, continue to be so. And we had the issues and campaign against FOBTs and betting shops.
Understandably the media and activism do appear to influence the Commission’s focus, as we have seen recently with the BBC investigation in Portsmouth, where the journalist was soon followed by Commission officers undertaking venue assessments of self-exclusion.
What can you expect from a compliance assessment?
Assessments can be announced or unannounced, with formal notifications typically provided but not always.
Prior to visits the Commission usually requests policy documentation in relation to the licence conditions and codes of practice, and may engage with staff, PML holders, and executives, emphasising a “show me, don’t tell me” approach.
The Commission also undertake targeted and thematic assessments focusing on specific areas like self-exclusion or marketing, sometimes triggered by media investigations or also customer complaints.
Generally, assessment outcomes fall into three categories: no follow-up needed, improvement notices for minor issues, or consideration of regulatory action for more serious breaches. Improvement notices highlight non-critical failings requiring rectification typically within three months, with the Commission often undertake follow-up visits to ensure compliance.
Licensees are advised to engage proactively with the Commission.
Regulatory investigations can occur with more serious breaches indicating potential consumer harm. They can lead to licence reviews, and at worst financial penalties.
A number of adult gaming centre operators recently had their operating licences suspended for failure to participate in multi-operator self-exclusion schemes.
One recent development has been the increased use by the Commission of ‘Special Measures’ to raise standards quickly, requiring licensees to accept failings and demonstrate swift compliance. These are used by the Commission to provide an opportunity to the operator to prevent the requirement for regulatory investigations.
And, one final thought. Local councils are particularly active politically against our venues. It doesn’t take a huge leap to think that they may send out their officers to visit gambling venues to find problems. Be alert!
Special measures
Nick Arron said……. “One recent development has been the increased use by the Commission of ‘Special Measures’ to raise standards quickly, requiring licensees to accept failings and demonstrate swift compliance. These are used by the Commission to provide an opportunity to the operator to prevent the requirement for regulatory investigations..…
