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Guidance

LCCP Information requirements

Guidance for licence holders on the information requirements in the LCCP

  1. Contents
  2. 13 - LCCP notifications (matters that could have a material impact on a business)

13 - LCCP notifications (matters that could have a material impact on a business)

This section provides guidance to holders of gambling operating licensees on how to tell us about matters which could have a material impact on its business and its ability to comply with the licensing objectives listed in the Gambling Act 2005 (opens in a new tab).

Matters that could have a material impact on a business

Ordinary code provision 8.1.1

Information requirements – ordinary code

All licences

As stated earlier in this code, the Commission expects licensees to work with the Commission in an open and cooperative way and to inform the Commission of any matters that the Commission 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 or on the licensee’s ability to conduct licensed activities compliantly and consistently with the licensing objectives.

Thus, licensees should notify the Commission, or ensure that the Commission is notified, as soon as reasonably practicable and in such form and manner as the Commission may from time to time specify, of any matters which in their view could have a material impact on their business or affect compliance. The Commission would, in particular, expect to be notified of the occurrence of any of the following events in so far as not already notified in accordance with the conditions attached to the licensee’s licence:

  • any material change in the licensee’s structure or the operation of its business

  • any material change in managerial responsibilities or governance arrangements

  • any report from an internal or external auditor expressing, or giving rise to, concerns about material shortcomings in the management control or oversight of any aspect of the licensee’s business related to the provision of gambling facilities.

Your company must tell us about any matters which could have a material impact on its business and its ability to comply with the licensing objectives listed in the Gambling Act 2005 (opens in a new tab).

The licensing objectives are:

  • preventing gambling from being a source of crime or disorder, being associated with crime or disorder, or being used to support crime
  • ensuring that gambling is conducted in a fair and open way
  • protecting children and other vulnerable persons from being harmed or exploited by gambling.

Examples of circumstances that will amount to a material impact are set out as follows (but not limited to):

  • any material change in the structure or operation of your business (for example, a change that has a significant or detrimental impact on your customers, or a change that might affect your ability to carry out your normal business activities. Any fundamental changes to your company’s products or services should be reported under this heading).

  • any material change in managerial responsibilities or governance arrangement (for example, a change that significantly changes the responsibilities of key managers, or significant changes to the rules, practices and processes by which a company is directed and controlled).

  • any report from an internal or external auditor expressing, or giving rise to, concerns about material shortcomings in the management control or oversight of any aspect of the licensee’s business related to the provision of gambling facilities.

When reporting these matters, you should include the following information:

  • A summary of the nature of the material changes or audit report.

  • The date the changes or audit took place.

  • The reason for the changes or the audit concerns.

If any of these material impacts happen within your business, you must tell us about them, via the LCCP notifications part of the eServices digital service (opens in a new tab) on our website.

You must select the following types when entering these LCCP notifications on eServices:

LCCP Notification: Matters of material impact

You must do this as soon as reasonably possible.

Note that some matters which could have a material impact on your business or affect compliance, are covered by our key event reporting requirements (opens in a new tab). If this is the case, and you have reported a matter to us by submitting a key event report, you do not need to submit a separate LCCP notification.

This reporting requirements applies to holders of all operating licences.

Previous section
LCCP notifications (money laundering, terrorist financing etc)
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LCCP notifications (repeated attempts by children or young people to gamble)
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