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Guidance

The prevention of money laundering and combating the financing of terrorism

Guidance for remote and non-remote casinos: fifth edition

  1. Contents
  2. Part 5 - Nominated officer
  3. 1 - Nominated officer

1 - Nominated officer

Casino operators must appoint an individual in their firm61 as a nominated officer62 , who is responsible for:

Each entity licensed by the Commission should have a dedicated nominated officer

This is as a matter of good practice. Where the function is performed by one person for multiple licensees within the same group, the Commission would seek assurances, with supporting information, that the nominated officer has sufficient oversight of AML across all those licensed entities. This does not allow the nominated officer function to be outsourced to an individual independent of the firm. The requirement to appoint a nominated officer does not apply where the casino operator does not employ, or act in association with, any other person63.

The casino operator must inform the Commission of the identity of the individual appointed as the nominated officer within 14 days of the appointment. They must also inform us of any subsequent appointment to that position.64

The nominated officer's role

The role of the nominated officer is to apply the same rigour in their approach to managing money laundering and terrorist financing risk as the operator does in managing its commercial systems. The nominated officer should report to the board internally (or to the chief executive for small organisations), and direct to the NCA in relation to known or suspected money laundering or terrorist financing activity (including criminal spend), request a defence, or both (appropriate consent).

The nominated officer should be able to monitor the day-to-day operation of the operator’s AML or CTF policies and respond promptly to any reasonable request for information made by the Commission or law enforcement bodies. The nominated officer is expected to take ultimate managerial responsibility for AML issues, but this does not diminish senior management responsibility for AML.

The term 'nominated officer' is used and defined in the Regulations65 .

References

61In the context of the Regulations, 'firm' means the holder of a casino operating licence issued by the Commission.
62Regulation 21(3).
63Regulation 21(6).
64Regulation 21(4).
65Regulation 3(1).

Next section
Standing of the nominated officer
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