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Guidance

LCCP Information requirements

Guidance for licence holders on the information requirements in the LCCP

  1. Contents
  2. 12 - LCCP notifications (money laundering, terrorist financing etc))

12 - LCCP notifications (money laundering, terrorist financing etc))

This section provides guidance to holders of gambling operating licensees on how to tell us:

Licence condition 15.2.3

Other reportable events – money laundering, terrorist financing, etc

All non-remote and remote casino operating licences

Licensees must notify the Commission in such form or manner as the Commission may from time to time specify, as soon as reasonably practicable of any actual or potential breaches by the licensee of the provisions of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on Payer) Regulations 2017, or any UK Statutory Instrument by which those regulations are amended or superseded.

Licensees must, within 14 days of the appointment, notify the Commission of the identity of the individual appointed as:

  • the officer responsible for the licensee’s compliance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on Payer) Regulations 2017 (regulation 21(1)(a))

  • the nominated officer (regulation 21(3))

and any subsequent appointment to either of those positions.

Licensees must, within 14 days of the departure or removal of any individual appointed to the positions mentioned in 2 above, notify the Commission of such departure or removal.

If the company has broken or may have broken the requirements of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (opens in a new tab).

Your company must submit an LCCP notification report to us if it breaches, or is at risk of breaching, the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (opens in a new tab), or any law that amends or replaces them.

You must give us this information as soon as reasonably possible.

When reporting this event, you should include the following information:

  • Date the breach or potential breach occurred.

  • Date the breach or potential breach was discovered (state which).

  • A description of the breach (including telling us which people were involved).

  • Any impacts resulting from the breach or potential breach.

  • What actions the licensee has taken after discovering the breach.

  • Details of any internal or external investigations or investigation outcomes (e.g. prosecutions) resulting from the breach.

  • Contact details of a person we can talk to about the breach.

We only require you to tell us about actual or potential breaches by your company. This includes breaches of customer due diligence, record keeping and training requirements, and of the requirements for risk assessments and policies, procedures, and controls. For this requirement, you do not need to tell us about breaches by your customers (for example, if a customer has been unable to obtain satisfactory source-of-funds documentation).

This information is to be reported to us via the LCCP notifications part of the eServices digital service (opens in a new tab) on our website. You must select the following type when entering this LCCP notification on eServices:

LCCP Notification: MF,TF & ToF Regs - breach

This reporting requirement applies to all holders of non-remote and remote casino operating licences.

Note, any actual or potential breaches by your company of the requirements imposed by the Proceeds of Crime Act 2002 (Part 7) (opens in a new tab) or (Part 8) (opens in a new tab), or Terrorism Act 2000 (Part III) (opens in a new tab), or any law that amends or replaces them, should not be reported under this event. Instead, refer to the guidance notes for LCCP Licence condition 15.2.2.

Changes to persons responsible for compliance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (opens in a new tab), or nominated officers

Your company must also submit an LCCP notification to us if it appoints:

You must do this within 14 days of you making the appointment. If the person appointed to any of the positions mentioned above changes, you must also tell us this within 14 days.

When reporting this matter, you should include the following information:

  • The name, address and date of birth of the person.

  • The position of the person within your company.

  • The date the appointment started.

Additional information on the ‘nominated officer’ is provided in our guidance on The prevention of money laundering and combating the financing of terrorism (opens in a new tab) and advice on Duties and responsibilities under the Proceeds of Crime Act 2002 (opens in a new tab).

This information is to be reported to us via the LCCP notifications part of the eServices digital service (opens in a new tab) on our website. You must select the following type when entering this LCCP notification on eServices:

LCCP Notification: ML,TF & ToF Regs - persons

This reporting requirement applies to all holders of non-remote and remote casino operating licences.

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LCCP notifications (other reportable events)
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LCCP notifications (matters that could have a material impact on a business)
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