Gambling Act 2005

Regulation E+W+S

116 Review E+W+S

(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

(c) for any reason—

(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.

Modifications etc. (not altering text)

C1 Pt. 5 modified (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 72

C2 Pt. 5 modified (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 50

C3 S. 116 applied (with modifications) (1.1.2007) by Gambling (Personal Licences) (Modification of Part 5 of the Gambling Act 2005) Regulations 2006 (S.I. 2006/3267), regs. 1(1), 2(2), Sch. Table 2

C4 Ss. 116-122 applied (with modifications) (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 48

C5 Ss. 116-120 modified (1.9.2007) by Gambling Act 2005 (Horserace Betting Levy) Order 2007 (S.I. 2007/2159), arts. 1(1), 3

Commencement Information

I1 S. 116(1)(2)(a) in force at 1.9.2007 by S.I. 2006/3272, art. 2(4)(5), Sch. 3B (with arts. 7-11, 7-12, Sch. 4) (as inserted by S.I. 2007/2169, arts. 3, 6, Sch.)

I2 S. 116(2)(b) (c) (3)-(5) in force at 1.1.2007 by S.I. 2006/3272, art. 2(1), Sch. 1 (with arts. 7-11, 7-12, Sch. 4)

117 Regulatory powers E+W+S

(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;

(c) remove or amend a condition attached to a licence under section 77;

F1 (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(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).

Textual Amendments

F1 S. 117(1)(d) repealed (1.9.2007) by Gambling Act 2005 (Repeal) (Remote Operating Licence and Credit) Regulations 2007 (S.I. 2007/2321), regs. 1, 2(b)

Modifications etc. (not altering text)

C4 Ss. 116-122 applied (with modifications) (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 48

C5 Ss. 116-120 modified (1.9.2007) by Gambling Act 2005 (Horserace Betting Levy) Order 2007 (S.I. 2007/2159), arts. 1(1), 3

C6 S. 117(1) applied (with modifications) (1.1.2007) by Gambling (Personal Licences) (Modification of Part 5 of the Gambling Act 2005) Regulations 2006 (S.I. 2006/3267), regs. 1(1), 2(2), Sch. Table 2

Commencement Information

I3 S. 117 in force at 1.1.2007 for specified purposes by S.I. 2006/3272, art. 2(1), Sch. 1 (with arts. 7-11, 7-12, Sch. 4)

I4 S. 117 in force at 1.9.2007 in so far as not already in force by S.I. 2006/3272, art. 2(4)(5), Sch. 3B (with arts. 7-11, 7-12, Sch. 4) (as inserted by S.I. 2007/2169, arts. 3, 6, Sch.)

118 Suspension E+W+S

(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.

Modifications etc. (not altering text)

C4 Ss. 116-122 applied (with modifications) (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 48

C5 Ss. 116-120 modified (1.9.2007) by Gambling Act 2005 (Horserace Betting Levy) Order 2007 (S.I. 2007/2159), arts. 1(1), 3

Commencement Information

I5 S. 118 in force at 1.1.2007 for specified purposes by S.I. 2006/3272, art. 2(1), Sch. 1 (with arts. 7-11, 7-12, Sch. 4)

I6 S. 118 in force at 1.9.2007 in so far as not already in force by S.I. 2006/3272, art. 2(4)(5), Sch. 3B (with arts. 7-11, 7-12, Sch. 4) (as inserted by S.I. 2007/2169, arts. 3, 6, Sch.)

119 Revocation E+W+S

(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).

Modifications etc. (not altering text)

C4 Ss. 116-122 applied (with modifications) (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 48

C5 Ss. 116-120 modified (1.9.2007) by Gambling Act 2005 (Horserace Betting Levy) Order 2007 (S.I. 2007/2159), arts. 1(1), 3

C7 S. 119 applied (with modifications) (1.1.2007) by Gambling (Personal Licences) (Modification of Part 5 of the Gambling Act 2005) Regulations 2006 (S.I. 2006/3267), regs. 1(1), 2(2), Sch. Table 2

Commencement Information

I7 S. 119 in force at 1.1.2007 for specified purposes by S.I. 2006/3272, art. 2(1), Sch. 1 (with arts. 7-11, 7-12, Sch. 4)

I8 S. 119 in force at 1.9.2007 in so far as not already in force by S.I. 2006/3272, art. 2(4)(5), Sch. 3B (with arts. 7-11, 7-12, Sch. 4) (as inserted by S.I. 2007/2169, arts. 3, 6, Sch.)

120 Conditions for suspension or revocation E+W+S

(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,

(c) that the licensee has failed to cooperate with a review under section 116(1) or (2), or

(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).

Modifications etc. (not altering text)

C4 Ss. 116-122 applied (with modifications) (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 48

C5 Ss. 116-120 modified (1.9.2007) by Gambling Act 2005 (Horserace Betting Levy) Order 2007 (S.I. 2007/2159), arts. 1(1), 3

C8 S. 120(3) applied (with modifications) (1.1.2007) by Gambling (Personal Licences) (Modification of Part 5 of the Gambling Act 2005) Regulations 2006 (S.I. 2006/3267), regs. 1(1), 2(2), Sch. Table 2

Commencement Information

I9 S. 120 in force at 1.1.2007 for specified purposes by S.I. 2006/3272, art. 2(1), Sch. 1 (with arts. 7-11, 7-12, Sch. 4)

I10 S. 120 in force at 1.9.2007 in so far as not already in force by S.I. 2006/3272, art. 2(4)(5), Sch. 3B (with arts. 7-11, 7-12, Sch. 4) (as inserted by S.I. 2007/2169, arts. 3, 6, Sch.)

121 Financial penalty E+W+S

(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,

(c) of the Commission's reasons, and

(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,

(c) revise the statement when the Commission thinks it necessary,

(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

(c) the nature of the licensee (including, in particular, his financial resources).

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

(a) the Secretary of State,

(b) the Lord Chancellor, and

(c) such other persons as the Commission thinks appropriate.

Modifications etc. (not altering text)

C4 Ss. 116-122 applied (with modifications) (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 48

Commencement Information

I11 S. 121 in force at 1.9.2007 by S.I. 2006/3272, art. 2(4)(5), Sch. 3B (with arts. 7-11, 7-12, Sch. 4) (as inserted by S.I. 2007/2169, arts. 3, 6, Sch.)

122 Information E+W+S

(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;

(c) provide information about 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.

Modifications etc. (not altering text)

C4 Ss. 116-122 applied (with modifications) (1.1.2007) by The Gambling Act 2005 (Commencement No. 6 and Transitional Provisions) Order 2006 (S.I. 2006/3272), art. 1(1), Sch. 4 para. 48

Commencement Information

I12 S. 122 in force at 1.1.2007 by S.I. 2006/3272, art. 2(1), Sch. 1 (with arts. 7-11, 7-12, Sch. 4)