Gambling Act 2005 (c. 19)

(The document as of February, 2008)

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(1) The Commission may in relation to operating licences of a particular description review--

(a) the manner in which licensees carry on licensed activities, and

(b) in particular, arrangements made by licensees to ensure compliance with conditions attached under section 75, 77 or 78.

(2) The Commission may review any matter connected with the provision of facilities for gambling as authorised by an operating licence if the Commission--

(a) has reason to suspect that activities may have been carried on in purported reliance on the licence but not in accordance with a condition of the licence,

(b) believes that the licensee, or a person who exercises a function in connection with or is interested in the licensed activities, has acquired a conviction of a kind mentioned in section 71(1), or

(i) suspects that the licensee may be unsuitable to carry on the licensed activities, or

(ii) thinks that a review would be appropriate.

(3) For the purposes of subsection (2)(c) a reason--

(a) may, in particular, relate to the receipt of a complaint about the licensee's activities;

(b) need not relate to any suspicion or belief about the licensee's activities.

(4) Before commencing a review of an operating licence under subsection (2) the Commission shall--

(a) notify the licensee, and

(b) inform him of the procedure to be followed in the conduct of the review.

(5) In conducting a review of an operating licence under subsection (2) the Commission--

(a) shall give the licensee an opportunity to make representations, and

(b) may give other persons an opportunity to make representations.

117 Regulatory powers

(1) Following a review under section 116(1) or (2) the Commission may--

(a) give the holder of an operating licence a warning;

(b) attach an additional condition to a licence under section 77;

(d) make, amend or remove an exclusion under section 89(3);

(e) exercise the power under section 118 to suspend a licence;

(f) exercise the power under section 119 to revoke a licence;

(g) exercise the power under section 121 to impose a penalty.

(2) Where the Commission determines to take action under subsection (1) in respect of a licence it shall as soon as is reasonably practicable notify the licensee of--

(a) the action, and

(b) the Commission's reasons.

(3) In determining what action to take under subsection (1) following a review the Commission may have regard to a warning under that subsection given to the licensee following an earlier review (whether or not of that licence).

118 Suspension

(1) The Commission may suspend an operating licence if following a review under section 116(1) or (2) the Commission thinks that any of the conditions specified in section 120(1) applies.

(2) The Commission may suspend an operating licence if at the time of deciding to conduct a review under section 116(1) or (2), or at any time during the course of a review, the Commission suspects that any of the conditions specified in section 120(1) may apply.

(3) The Commission may suspend an operating licence if it thinks that any of the conditions specified in section 120(2) applies.

(4) Where the Commission suspends an operating licence it--

(a) shall specify the time when the suspension takes effect,

(b) shall specify either--

(i) a period for which the suspension shall last (which is without prejudice to the re-exercise of the power under subsection (1) on or after the expiry of that period), or

(ii) that the suspension shall last until some specified event occurs (which may be the giving of a notice by the Commission), and

(c) may make saving or transitional provision (which may, in particular, provide for a licence to continue to have effect in relation to a gaming machine supplied, or another thing done, before the time when the suspension takes effect for other purposes).

(5) An operating licence shall have no effect in respect of anything done while it is suspended under this section.

119 Revocation

(1) The Commission may revoke an operating licence if following a review under section 116(1) or (2) the Commission thinks that any of the conditions specified in section 120(1) applies.

(2) The Commission may revoke an operating licence if it thinks that any of the conditions specified in section 120(2) applies.

(3) The Commission shall revoke an operating licence if the licensee fails to pay the annual fee in accordance with section 100; but the Commission may disapply this subsection if it thinks that a failure to pay is attributable to administrative error.

(4) Where the Commission revokes an operating licence it--

(a) shall specify the time when the revocation takes effect, and

(b) may make saving or transitional provision (which may, in particular, provide for a licence to continue to have effect in relation to a gaming machine supplied, or another thing done, before the time when the revocation takes effect for other purposes).

120 Conditions for suspension or revocation

(1) The conditions referred to in sections 118(1) and (2) and 119(1) are--

(a) that a licensed activity is being or has been carried on in a manner which is inconsistent with the licensing objectives,

(b) that a condition of the licence has been breached,

(d) that the licensee is unsuitable to carry on the licensed activities.

(2) The conditions referred to in sections 118(3) and 119(2) are--

(a) that the licensee has failed to comply with a requirement of regulations under section 101, or

(b) that the licensee has failed to submit the licence to the Commission for amendment in accordance with section 105.

(3) In considering a licensee's suitability for the purpose of subsection (1)(d) the Commission may, in particular, have regard to--

(a) the integrity of the licensee or of any person who exercises a function in connection with or is interested in the licensed activities;

(b) the competence of the licensee, or of any person who exercises a function in connection with the licensed activities, to carry on the licensed activities in a manner consistent with pursuit of the licensing objectives;

(c) the financial and other circumstances of the licensee or of any person who exercises a function in connection with or is interested in the licensed activities (and, in particular, the resources available for the purpose of carrying on the licensed activities).

121 Financial penalty

(1) The Commission may require the holder of an operating licence to pay a penalty if the Commission thinks that a condition of the licence has been breached.

(2) Before imposing a requirement on a licensee to pay a penalty under this section the Commission must notify him--

(a) that the Commission proposes to require him to pay a penalty,

(b) of the amount of the proposed penalty,

(d) of a period within which he may make representations to the Commission.

(3) The Commission may not give a notice under subsection (2) in respect of the breach of a condition after the end of the period of two years beginning with--

(a) the day on which the breach occurred or began to occur, or

(b) if later, the day on which the breach came to the knowledge of the Commission.

(4) After the end of the period specified under subsection (2)(d) the Commission may give the licensee a notice requiring him to pay a penalty under this section.

(5) A penalty imposed by notice under subsection (4)--

(a) shall be payable by the licensee to the Commission,

(b) may be enforced as if it were a debt owed by the licensee to the Commission, and

(c) on receipt by the Commission shall be paid into the Consolidated Fund after deduction of a sum which represents the direct costs to the Commission of, and a reasonable share of expenditure by the Commission which is indirectly referable to--

(i) the investigation by the Commission of the matter in respect of which the penalty is imposed (whether by review under section 116 or otherwise), or

(ii) the imposition and enforcement of the penalty.

(6) The Commission shall--

(a) prepare a statement setting out the principles to be applied by the Commission in exercising the powers under this section,

(b) review the statement from time to time,

(d) as soon as is reasonably practicable--

(i) send the statement and any revision to the Secretary of State, and

(ii) publish the statement and any revision, and

(e) have regard to the statement when exercising a power under this section.

(7) The statement maintained under subsection (6) must, in particular, require the Commission in considering the imposition of a penalty under this section or the amount of a penalty to have regard, in particular, to--

(a) the seriousness of the breach of condition in respect of which the penalty is proposed,

(b) whether or not the licensee knew or ought to have known of the breach, and

(8) Before preparing or revising a statement under subsection (6) the Commission shall consult--

(a) the Secretary of State,

(b) the Lord Chancellor, and

122 Information

(1) The holder of an operating licence shall comply with a request of the Commission to--

(a) produce a written or electronic record relating to the licensed activities;

(b) provide a copy of a written or electronic record relating to the licensed activities;

(2) A request under subsection (1) may specify--

(a) the form and manner in which a record or information is to be produced or provided;

(b) the period within which a record or information is to be produced or provided.

(3) The Commission may retain anything provided under subsection (1).

(4) The Commission may exercise a power under this section only for the purpose of--

(a) determining whether activities have been carried on in purported reliance on the licence but not in accordance with a condition of the licence, or

(b) determining the suitability of the licensee to carry on the licensed activities.

(5) A person commits an offence if he fails without reasonable excuse to comply with subsection (1).

(6) A person guilty of an offence under subsection (5) shall be liable on summary conviction to a fine not exceeding level 2 on the standard scale.

General

123 Levy

(1) The Secretary of State may make regulations requiring holders of operating licences to pay an annual levy to the Commission.

(2) The regulations shall, in particular, make provision for--

(a) the amount of the levy;

(b) timing of payment of the levy.

(3) The regulations may, in particular, make provision--

(a) determining the amount of the levy by reference to a percentage of specified receipts of an operating licence holder,

(b) determining the amount of the levy by reference to a percentage of specified profits of an operating licence holder,

(d) providing for the determination of the amount of the levy according to a specified formula, or

(e) providing for the determination of the amount of the levy in some other way.

(4) Any sum due by way of levy by virtue of this section shall be treated for the purposes of this Act as if it were due by way of annual fee under section 100.

(5) The Commission shall, with the consent of the Treasury and of the Secretary of State, expend money received by way of levy for purposes related to, or by providing financial assistance for projects related to--

(a) addiction to gambling,

(b) other forms of harm or exploitation associated with gambling, or

(6) In subsection (5) the reference to financial assistance is a reference to grants, loans and any other form of financial assistance, which may be made or given on terms or conditions (which may include terms and conditions as to repayment with or without interest).

(7) The Secretary of State shall consult the Commission before making regulations under this section.

124 Directions and requirements

Where the Commission has power under this Part to give a direction or impose a requirement it may give different directions or impose different requirements in relation to different cases or circumstances.

125 Relevant offence: disapplication of rehabilitation

Section 4 of the Rehabilitation of Offenders Act 1974 (c. 53) (effect of rehabilitation) shall not apply for the purposes of or in connection with--

(a) section 69(2)(d), or

(b) section 71(1).

126 Interpretation

(1) In this Part--

"conviction"--
(a)
has the meaning given by section 1(4) of the Rehabilitation of Offenders Act 1974, and
(b)
includes, to the extent required by section 125, a spent conviction within the meaning of that Act,
"holder", in relation to an operating licence, means the person to whom the licence is issued,
"the licensed activities" in relation to an operating licence means the activities which it authorises, and
"licensee", in relation to an operating licence, means the person to whom the licence is issued.

(2) In this Act "relevant offence" means--

(a) an offence listed in Schedule 7, and

(b) an offence under the law of a country or territory outside the United Kingdom (a "foreign offence") which prohibits a kind of activity prohibited by an offence listed in that Schedule (a "domestic offence").

(3) For the purpose of subsection (2)(b) it is immaterial--

(a) whether or not the foreign offence prohibits all the kinds of activity prohibited by the domestic offence, and

(b) whether or not the foreign offence prohibits kinds of activity not prohibited by the domestic offence.

Part 6 Personal Licences

127 Nature of personal licence

(1) For the purposes of this Act a "personal licence" is a licence which authorises an individual to perform the functions of a specified management office, or to perform a specified operational function, in connection with--

(a) the provision of facilities for gambling, or

(b) a person who provides facilities for gambling.

(2) In this section "management office" and "operational function" have the same meaning as in section 80.

128 Application of provisions of Part 5

(1) The provisions of Part 5 (other than section 65(2), (4) and (5)) shall apply to a personal licence as they apply to an operating licence, with--

(a) the modifications and exclusions specified in this Part,

(b) such modifications and exclusions as the Secretary of State may specify by regulations, and

(2) Regulations under a provision of Part 5--

(a) may make different provision for purposes of this Part and for purposes of that Part, and

(b) in making provision for purposes of this Part, may make different provision in relation to personal licences authorising--

(i) the performance of different kinds of function, or

(ii) the performance of functions in different circumstances.

129 Exemption for small-scale operators

(1) A condition may not be attached to an operating licence under section 75, 77 or 78 requiring possession of a personal licence if the licensee is a small-scale operator.

(2) In this section "small-scale operator" shall have such meaning as the Secretary of State may prescribe by regulations.

(3) Regulations under subsection (2) may, in particular, make provision by reference to--

(a) the size or value of business carried on, or expected to be carried on, in reliance on an operating licence;

(b) the number of persons employed, or expected to be employed, by the licensee.

(4) A constable or enforcement officer may under section 108(1) require a small-scale operator to produce his operating licence--

(a) within a specified period, or

(b) while the operator is carrying on a licensed activity, immediately.

130 Application

(1) A direction under section 69(2)(c) or (f) (as applied by section 128) may, in particular, require that an application--

(a) be signed by the applicant's employer;

(b) contain or be accompanied by information provided by the applicant's employer or relating to his employment.

(2) The Commission may under section 73(1)(a) (as applied by section 128) require an applicant to obtain information from his employer.

(3) For the purposes of this section a reference to an applicant's employer is a reference to any person for whom the applicant, in the course of a business (but whether or not under a contract of employment)--

(a) provides services,

(b) has provided services, or

(4) Neither this section nor any other provision of this Act shall be treated as preventing a person who is not employed from applying for a personal licence.

131 Duration

A personal licence shall continue to have effect unless and until it ceases to have effect in accordance with section 113, 114, 115 or 119 (as applied by section 128).

132 Fees

(1) Section 100 shall not have effect in relation to personal licences.

(2) The Secretary of State may make regulations requiring the holder of a personal licence to pay to the Commission specified fees in respect of specified periods during which the licence is held.

(3) Regulations under this section may, in particular, make different provision for--

(a) different kinds of licence, or

(b) different circumstances.

(4) In its application to this part by virtue of section 128, the reference in section 119(3) to failure to pay an annual fee shall be construed as a reference to failure to comply with regulations under this section.

133 Multiple licences

(1) The Commission may not issue a personal licence to an individual who already holds one.

(2) But a personal licence may authorise the performance of more than one function.

134 Production of licence

(1) A constable or enforcement officer may under section 108 (as applied by section 128) require the individual who holds a personal licence to produce the licence--

(a) within a specified period,

(b) while the individual is carrying on a licensed activity, immediately, or

(2) A licensee commits an offence if he fails without reasonable excuse to comply with a requirement under subsection (1).

(3) A person guilty of an offence under subsection (2) shall be liable on summary conviction to a fine not exceeding level 2 on the standard scale.

135 Review

Section 116(1) shall not apply in relation to personal licences.

136 Disqualification

(1) A court which may order the forfeiture of an individual's personal licence under section 115 (as applied by section 128) may, whether or not it makes an order for forfeiture, make an order disqualifying the individual from holding a personal licence for a specified period, not exceeding ten years, beginning with the date of the order.

(2) The Commission shall not issue a personal licence to a person while a disqualification order under this section has effect in respect of him.

(3) Subsections (2) to (5) of section 115 shall have effect in relation to an order under this section (and in relation to a licence held by the person disqualified) as they have effect in relation to an order under that section (and in relation to the licence forfeited).

137 Notification of operating licensee

(1) This section applies where the Commission--

(a) suspends a personal licence under section 118 (as applied by section 128),

(b) revokes a personal licence under section 119 (as applied by section 128),

(c) is informed by a court of the making of a forfeiture order in respect of a personal licence under section 115 (as applied by section 128), or

(d) is informed by a court of the making of a disqualification order under section 136.

(2) If the Commission believes that the holder of the personal licence, or the subject of the disqualification order, is providing services to the holder of an operating licence in connection with the licensed activities, the Commission shall as soon as is reasonably practicable notify the holder of the operating licence of the matter specified in subsection (1).

138 Conviction

(1) This section applies if the holder of a personal licence is convicted of a relevant offence by or before a court (whether inside or outside Great Britain).

(2) The holder of any relevant operating licence shall notify the Commission of the conviction, and of any sentence passed in respect of it, as soon as is reasonably practicable after becoming aware of it.

(3) A person commits an offence if he fails without reasonable excuse to comply with subsection (2).

(4) A person guilty of an offence under subsection (3) shall be liable on summary conviction to a fine not exceeding level 2 on the standard scale.

(5) For the purposes of subsection (2) an operating licence is relevant if the holder of the personal licence acts in connection with activities authorised by the operating licence.

(6) The duty under subsection (2) is in addition to any duty of the holder of the personal licence under section 109 (as applied by section 128).

139 Breach of personal licence condition

(1) This section applies where--

(a) a condition attached to an operating licence includes provision for a personal licence in accordance with section 80,

(b) an individual who holds a personal licence under this Part acts in the course of or in connection with any of the activities authorised by the operating licence, and

(2) The individual commits an offence.

(3) The individual may be proceeded against for the offence under subsection (2) whether or not the holder of the operating licence is proceeded against for an offence under section 33 (by reason of a breach of the condition under section 80).

(4) An individual guilty of an offence under this section shall be liable on summary conviction to--

(a) imprisonment for a term not exceeding 51 weeks,

(b) a fine not exceeding level 5 on the standard scale, or

(5) In the application of subsection (4) to Scotland the reference to 51 weeks shall have effect as a reference to six months.

Part 7 Operating and Personal Licences: Appeals

140 The Gambling Appeals Tribunal

(1) There shall be a tribunal to be known as the Gambling Appeals Tribunal.

(2) Schedule 8 (which makes provision about the constitution and proceedings of the Tribunal) shall have effect.

(3) In this Part "the Tribunal" means the Gambling Appeals Tribunal.

141 Appeal to Tribunal

(1) Where the Commission determines an application under section 69 or 112 (including either of those sections as applied by section 128) for the issue or renewal of an operating licence or a personal licence, the applicant may appeal to the Tribunal.

(2) Where the Commission attaches a condition to a licence under section 77 (including that section as applied by section 128) the licensee may appeal to the Tribunal.

(3) Where the Commission determines an application under section 102(2)(b) the applicant may appeal to the Tribunal.

(4) Where the Commission determines an application under section 104 (including that section as applied by section 128) the applicant may appeal to the Tribunal.

(5) Where the Commission gives a notice under section 114(1)(b) (including that section as applied by section 128) the licensee may appeal to the Tribunal.

(6) Where the Commission takes action, or determines to take action, under section 117 (including that section as applied by section 128) in respect of a licence, the licensee may appeal to the Tribunal.

(7) Where the Commission takes action, or determines to take action, under section 118 (including that section as applied by section 128) in respect of a licence, the licensee may appeal to the Tribunal.

(8) Where the Commission takes action, or determines to take action, under section 119 (including that section as applied by section 128) in respect of a licence, the licensee may appeal to the Tribunal.

(9) Where the Commission gives a notice imposing a penalty on a licensee under section 121(4) (including that section as applied by section 128) the licensee may appeal to the Tribunal.

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