- The Rules of the Electrical Industries Charity Lottery
- Complaints Procedure
- Social Responsibility Policy
- Responsible Gambling
- Self Exclusion Policy
- Key Events Policy
1.1 The Electrical Industries Charity Lottery (“the Lottery”) will be operated as a subscription based Society Lottery under the Gambling Act 2005 as amended (“the Act”) and is licensed by the Gambling Commission (Reference 20387).
1.2 The Lottery is promoted by the Promoter and conducted for the benefit of the Electrical Industries Charity Limited, Company Number 02726030, Registered Office 36 Tanner Street, London SE1 3LD and the Electrical Industries Charity Limited, Company Number SC038811, Registered Office 36 Tanner Street, London SE1 3LD.
1.3 The person responsible for the promotion of the Lottery is Tessa Ogle care of 36 Tanner Street, London SE1 3LD
1.4 By entering the Lottery, Members agree to be bound by these rules.
“Act” The Gambling Act 2005 as amended
“Draw” The process by which winners are selected
“Charity” Electrical Industries Charity Limited, 36 Tanner Street, LONDON SE1 3LD (Charity Number SC038811)
“Member” An individual who has registered with the Lottery
“Rules” The rules of the Lottery as set out below and amended from time to time
“Chance” The entry into the Lottery
“Lottery Management Company” Sterling Management Centre Limited, Sterling Management Centre Ltd, Suite 6, Furness Gate, Peter Green Way, Furness Business Park, BARROW-IN-FURNESS LA14 2PE
2. Entry into the Lottery
2.1 The Lottery is promoted in accordance with the Act throughout Great Britain. In order to comply with the Act, during the purchase of Lottery Chances you will be required to confirm that
(a) You are at least 16 years of age
(b) You will not buy or claim to buy lottery chances on behalf of any other person
2.2 If, upon winning any prize in the Lottery, you are not able to prove that you have met the criteria specified in Rules 2.1 (a) and (b) above then you will not be entitled to receive that prize.
2.3 In order to comply with the Act Lottery Chances that have been purchased and entered into the draw for which they were intended are prohibited from being subsequently refunded.
2.4 By entering into the Lottery you agree to be bound by the Rules, and applicable provisions of the Act and any relevant regulations made there under from time to time. The Promoter or/and Charity shall not be liable for any loss or damage (including loss of the opportunity to enter the Lottery and / or the right to receive a prize) suffered by you if you have not complied with the Rules. The Rules may be amended by the Charity from time to time.
2.5 This Lottery is a form of gambling. Participants are encouraged to gamble sensibly. Should gambling become a problem we recommend you contact the Gamble Aware helpline on 0808 8020 133 or visit the website on www.gambleaware.co.uk. Further information is available on the Lottery’s Social Responsibility and Self Exclusion policies are available at Appendixes B and C respectively.
2.6 The maximum number of entries an individual will be permitted to purchase in any one draw is £40.
3. Registration with the Lottery
3.1 You can only enter the Lottery by the completion of an application form via the online portal for if you are joining a workplace lottery through your payroll department.
3.2 Registration will require you to provide the following information to the Lottery Management Company:
(a) Your name and address, so that we can write to you to confirm your entry into the lottery and contact you if you have won a prize.
(b) Confirmation that you are over 16 years of age, in order to ensure compliance with the Act.
(c) The number of Chances in the Lottery you wish to purchase
3.3 You will also be asked to provide the following information:
(a) Your contact telephone number.
(b) Your date of birth
(c) Your mobile phone number
(d) Your e-mail address
3.4 You will also be required to provide information relating to the purchase of your Chances. Payment may be made via the following methods and the relevant information will vary depending upon the payment method.
Information required will include your payroll number, office and department.
(b) Pension deductions
(c) Any other made method made available by the Charity from time to time
The information required will depend upon the payment method
3.5 The Charity or the Lottery Management Company shall be entitled to take any steps necessary to verify the above information and to process your registration. The Charity may (in its absolute discretion) refuse to accept an application for an individual to become a Member of the Lottery.
3.6 Following registration the Charity will send you confirmation of your entry. If you have chosen to pay by Direct Debit you will receive an Advance Notification Letter. The confirmation will specify your Lottery Number/s and the first draw into which you will be entered and will confirm your name, address and any other details provided to the Charity as part of your registration.
3.7 It is your responsibility to ensure that the personal information you provide to us is accurate.
3.8 If you discover any error in your name, address or any other details provided to the Charity as part of your registration when you receive your confirmation then you must correct this by notifying the Lottery Management Company in writing or by e-mail. The Lottery Management Company will make any required corrections as soon as reasonably possible. The Lottery Management Company and the Charity will not be liable for any loss or damage (including loss of the opportunity to enter the Lottery and / or the right to receive a prize) suffered by you until such correction has been made. Any correction notified to Lottery Management Company or the Charity shall only become effective once the correction has been made.
3.9 Each Game Number is unique. A randomly selected Game Number will be issued to you with your confirmation of entry. You may subsequently request an alternative Game Number if you wish at any time and this will be issued to you providing that it has not already been allocated to an existing Member.
4.1 Payment for Chances may be made by the following methods:
(a) Direct Debit
(c) Pension deduction
(d) Any other method made available by the Charity from time to time
4.2 Payment for Chances are made directly to the Charity’s Lottery Provider Sterling Management Centre Ltd. Therefore
(a) Direct Debit payments will be referenced as EICLottery on your bank statement.
(b) Pension deductions will be referenced as EICLottery
(c) Payroll payments will be referenced as EICLottery
4.3 The price for each Chance is £1.
4.4 Your Chances and therefore associated Game Number(s) will not be entered into the Draw unless the Charity has received all amounts payable (cleared funds) relating to your Game Numbers relating to your Chances by Charity of that weeks/months draw. If there is a dispute regarding whether Chances have been paid for then such dispute shall be resolved by reference to details included in official statements from the bank with which the Lottery’s bank accounts operate.
4.4.1 Direct Debit payments will be entered into the first available draw 3 working days after the collection has been made from your bank account. You will be notified of your first draw date in writing.
4.5 You may cancel your entry into the Lottery by notifying the Charity in writing or by e-mail (or via any other methods specified by the Charity from time to time). Upon receipt of this notice the Charity will;
(a) Cancel future Direct Debit payments as soon as is reasonably practicable.
(b) In accordance with the Act and as described in Rule 2.3 any payments made prior to such cancellation taking effect but which have not been used to pay for Chances in previous Draws will be used to pay for entry for your Chances into future Draws.
4.6 The Charity may cancel your entry into the Lottery (in its absolute discretion) at any time. The Charity will notify you accordingly as soon as reasonably practicable and will reimburse any amounts which have been paid but relate to future Draws. Other than the reimbursement of any such amounts, the Charity shall not be liable for any loss or damage (including loss of the opportunity to enter the Lottery and / or the right to receive a prize) suffered by you in relation to such cancellation.
4.7 All customer funds for use in future lottery entries paid to the Lottery are held in trustee status to maintain a separation from the Charity’s own trading income to protect those funds in the event of insolvency.
5. Changes to Member Details
5.1 Any changes to your details as provided by you upon registration should be notified to the Lottery Management Company in writing or by e-mail. Changes to the bank or building society specified during registration will require the completion of a new Direct Debit Instruction. Further information regarding this can be obtained from Charity upon request.
6.1 There are three Draws –
(a) The Power Lottery
(b) Powerdraw Workplace Draw (RWE, Npower and Innogy)
(c) NatGrid Workplace Draw
6.2 The Draws at 6.1 will be run at our Lottery Management Companies Offices to be held monthly.
6.3 In order to comply with the Act only those Chances for which payment has been received are eligible for entry into one of the Draws at 6.1.
7.1 Prizes in relation to the Power Lottery are as follows –
7.2 Prizes in relation to the Powerdraw are as follows –
(a) 1 x £1,000 top prize
(b) 7 x £500
(c) 7 x £250
(d) 10 x £100
(e) 15 x £50
(f) In June and December draws 1 x bonus cash prize of 1 x £5,000 top prize is offered in the draws if the lottery proceeds allow for it under gambling commission rules.
7.3 Prizes in relation to the NatGrid Power Draw are as follows –
(a) 1 x £1,000 top prize
(b) 4 x £500
(c) 4 x £250
(d) 5 x £100
(e) In December’s draw a bonus cash prize of 1 x £4,000 top prize if the lottery proceeds allow for it under gambling commission rules.
7.2 The Charity reserves the right to amend the prizes at any time. Any such changes will be published on the Charity’s Website at least one month prior to a change being made.
7.3 Each Game Number shall only be entitled to win one prize in the Draw entered.
7.4 The results of each Draw will be published on the Lottery website within one week of the date of the draw and may also be published in any other manner determined by the Charity from time to time.
7.5 Winners will be notified by post within one week of the date of the draw. Such notification will include a cheque to the value of the prize won made payable to the Member.
7.6 The Charity reserves the right to withhold the payment of any prize until it is entirely satisfied that the Member who has won the prize has fully complied with the Rules.
7.7 If, upon winning any prize in the Lottery, you are not able to prove that you have met the criteria specified in Rules 2.1 (a) and (b) above then you will not be entitled to receive that prize.
7.8 There are no alternatives to the prizes offered from time to time and no interest is payable.
7.9 The Charity will write to any winner who has not claimed their prize within 3 months at the start of each quarter.
7.10 It is your responsibility to keep the Charity updated as to any changes in circumstances as per clause 5.
7.10 Any unclaimed prizes will be re-credited to the Charity’s main account after a period of six months has elapsed and the cheque cancelled.
7.11 By accepting the prize, the winner agrees to take part in promotional activity and the Charity reserves the right to use the name and address of the winner, their photograph and audio/or visual recordings of them in any publicity unless prior notification has been received.
8. Suspension of the Lottery
8.1 The Charity may (at its absolute discretion) suspend the Lottery for any period of time. During such period, the Charity shall:
(a) Suspend Direct Debit payments from your bank or building society account as soon as reasonably practicable, and;
(b) Retain any amounts which were paid prior to such suspension taking effect that have not been used to pay for Chances in previous Draws.
8.2 You will be notified of further details regarding the resumption of the lottery or otherwise as soon as reasonably practicable after the date of suspension in writing.
9.1 The Charity shall not be liable to you for any loss or damage suffered by you arising from:
(a) Any delays or failures in the postal service or other delivery methods used by the Charity or you from time to time.
(b) Any delays or failures in any systems used by the Charity or you to transmit e-mails.
(c) Any failure in any software or other systems used by the Charity for the administration of the Lottery.
(d) Any delays of failures in the banking system used by the Charity or you.
(e) Any refusal by the Charity to accept registration of an individual as a Member or the cancellation of a Member by the Charity
(f) Any failure to enter your Chance into the Draw
(g) Any event beyond the reasonable control of the Charity
9.2 The Charity shall not be liable to you in contract, tort, negligence or otherwise for any indirect or consequential loss suffered by you in relation to your participation in the Lottery (including loss of the opportunity to enter the Lottery and / or the chance of winning a prize).
10. Self Exclusion
10.1 Should you feel that you have issues with gambling and wish to be self excluded from our lottery please phone our helpline number and request a self exclusion form.
10.2 There is a minimum period of 6 months self exclusion.
10.3 We will not target you with any marketing material during the self exclusion period and will remove your name and details from any marketing databases used by ourselves.
10.4 You will need to contact us after your period of self exclusion to re-instate your membership of the lottery.
10.5 If you need to talk to someone about problem gambling then please contact Gamble Aware.
10.6 Gamble Aware is a registered charity that provides confidential telephone support and counselling to anyone who is affected by problem gambling. Gamble Aware can be contacted on 0808 8020 133 (Freephone).
10.7 Further information is set out in Appendix C.
11.1 Any complaints relating to the Lottery should be sent in writing to the Charity giving full details of the complaint and supporting documentation.
11.2 The Promoter’s decisions made pursuant to the Rules shall be final and binding.
11.3 Save where the Rules expressly provide otherwise, the Promoter shall not be obliged to enter into any correspondence.
11.4 Further information is set out in Appendix A.
12.1 The Charity is committed to protecting your privacy. Data that we collect from you is used lawfully in accordance with the Data Protection Act 1998 and is used solely for the purpose of processing your purchase of Lottery chances, subsequent entry into the Lottery, and informing you if you have won a prize.
12.2 You have the right to access the information we hold about you. To obtain this information, please contact the Charity in writing. You may be asked to provide proof of your identity prior to personal information being disclosed to you.
12.3 The Charity will not sell, rent or grant access to any of the personal data we collect about you to any third parties without your express prior permission.
12.4 We may share aggregated information to third parties. This will not contain personal information that can identify any individual person.
12.5 We may be obliged to disclose your personal information if required to do so by law, for example to statutory bodies such as the Gambling Commission or other government bodies.
13. Proper Law and Jurisdiction
13.1 The Laws of England shall govern the interpretation and/or enforcement of these Rules and the Charity and all entrants hereby submit to the exclusive jurisdiction of the English courts.
14 . Contact Address
All correspondence should be sent to the following address:
Electrical Industries Charity Lottery
36 Tanner Street
The Charity is committed to providing excellent levels of service. We are constantly striving to meet the rising expectations of our members, and we welcome feedback on where our services can be improved or where your expectations have not been met.
Issues of concern to our members can usually be resolved by talking them through with one of our telephonists. A telephone log sheet is completed at the same time of the call, detailing the callers contact details, who took the call, nature of the complaint and how the complaint was resolved. However, we recognise that sometimes this may not be appropriate, or you may feel your concerns have not been properly addressed after talking them through with us.
We actively encourage our members to use our Complaints Procedure so that issues and concerns can be raised with management and addressed appropriately. This publication explains how the Complaints Procedure works, what you need to do and what you can expect. There are two levels – head of department and senior management.
Head of Department Level (1st level)
If we haven’t reasonably met your expectations or you wish to make a complaint relating to services or facilities provided by one of our staff you should write or e-mail in the first instance to the head of department.
In expressing concerns it is helpful to include all relevant details such as nature of complaint, date, people contacted and the other circumstances relating to your complaint. This helps us to quickly and fully understand the nature of your complaint and begin our investigations.
Once we have received your complaint the head of department or one of his/her colleagues will acknowledge receipt of your letter in writing within 48 hours and you can normally expect a full written response within 10 working days of this acknowledgement. Our aim is to resolve the complaint to your complete satisfaction at this level.
Senior Management Level (2nd level)
If, after receiving our response at the 1st level you feel that your concerns have not been fully addressed you can ask for your complaint to be referred to the Senior Management.
You can normally expect a full written response to your complaint within 10 working days of our acknowledgement of the complaint reaching the 2nd level. It may be necessary for additional information to be sought from an external source. When this is necessary and we feel it may not be possible to respond to your complaint within 10 working days we will contact you again. We will explain our reasons for asking for a time extension and seek your approval.
If a satisfactory resolution can not be reached then the matter can be referred to an alternative dispute resolution (ADR) entity. We use IBAS (Independent Betting Adjudication Service) for this purpose. IBAS are on the Gambling Commission’s approved ADR list. This service is free of charge – www.ibas-uk.com
PO Box 62639
Telephone 0207 347 5883
Fax 0207 347 5882
The Charity operates a Society Lottery for the general public in UK and the surrounding area, for the sole purpose of raising funds for the Electrical Industries Charity.
The Society is committed to ensuring that the lottery is operated in a secure, fair and socially responsible way and to endorse responsible gambling amongst its members.
The Gambling Commission regulates gambling in the public interest. The regulatory framework introduced by the Gambling Act 2005 is based on three licensing objectives:
1. Preventing gambling from being a source of crime and disorder, being associated with crime and disorder, or being used to support crime.
2. Ensuring that gambling is conducted in a fair and open way.
3. Protecting children and other vulnerable persons from being harmed or exploited by gambling.
This document sets out the Societies policies and approach to ensuring we approach any gambling activities in a socially responsible way. Lottery staff are familiar with this document and read it upon appointment and every six months thereafter.
1. Preventing gambling from being a source of crime and disorder
When an individual joins the lottery we will ensure that:
- The individual is aged 16 or over.
- We do not suspect money laundering in any way, in line with the Proceeds of Crime Act.
- We also retain the right to cancel any membership should we suspect criminal activity.
- We do not accept cash
- We limit the maximum number of entries to £20 per person per week.
- We will record any incidents for future reference.
2. Ensuring that gambling is conducted in a fair and open way
We will ensure that:
- Players have access to clear information on matters such as the rules of the lottery, the prizes that are available and the chances of winning.
- The rules are fair.
- Any advertising and promotional material is clear and not misleading.
- The results are made public.
- A complaints procedure is in place including an independent arbitration service.
3. Protecting children and other vulnerable persons from being harmed or exploited by gambling
We will use our best endeavours to address the following issues:
- Under age Gambling. It is illegal for individuals under the age of 16 to enter into a lottery. We reserve the right to ask for proof of age from any customer and customer’s’ accounts may be suspended until satisfactory proof of age is provided. If for whatever reason, upon winning any individual is unable to prove that they are 16 or over then any winnings will be forfeited.
- Gambling Limits. The Society may impose limits on the value of entries into a lottery that can be purchased by an individual.
- Self Exclusion. On request, we will close any player’s lottery membership(s) for a minimum period of six months during which time the membership(s) cannot be reinstated. During this period we will also try to ensure that the individual does not try and open a new membership.
- All attempted breaches of underage gambling and self-exclusions will be recorded.
- Access to Player History. We will provide any player with a full history of their lottery membership, including complete payment and winnings history upon request.
- Provide Information on Gambling Support Organisations. We will provide contact details or links on any lottery websites or via other appropriate media to Gamble Aware and other relevant / appropriate organisations. We also provide financial support to the Responsible Gambling Trust, which raises funds to support research, education and treatment of problem gambling.
- Self Help and Awareness Information. We will provide self help and awareness information on any lottery websites or other appropriate media together with links to or contact details of Gamble Aware and other relevant / appropriate organisations.
- Staff Training. All relevant staff receive awareness training on problem gambling issues.
- Our commitment to our potential and existing members means we actively encourage responsible gambling and in this regard abide by the following statement:-
Whilst the majority of people do gamble within their means, for some gambling can become a problem. It may help you to keep control to remember the following:
- Gambling should be entertaining and not seen as a way of making money
- Avoid chasing losses
- Only gamble what you can afford to lose
- Keep track of the time and amount you spend gambling
- If you want to have a break from gambling you can use our self-exclusion option by emailing us at firstname.lastname@example.org with your name, address and membership number(s). We will then close your membership(s) for a minimum period of 6 months, during which time it will not be possible for the account(s) to be re- opened for any reason.
- If you need to talk to someone about problem gambling then contact Gamble Aware.
- Gamble Aware is a registered charity that provides confidential telephone support and counselling to anyone who is affected by problem gambling. Gamble Aware can be contacted on 0808 8020 133 (Freephone).
Problem Gambling. If you are concerned that gambling may have taken over your (or someone else’s life) then the following questions may help you find out:
- Do you stay away from work, college or school to gamble?
- Do you gamble to escape from a boring or unhappy life?
- When gambling and you run out of money, do you feel lost and in despair and need to gamble again as soon as possible?
- Do you gamble until your last penny is gone, even the fare home or the cost of a cup of tea?
- Have you ever lied to cover up the amount of money or time you have spent gambling?
- Have others ever criticised your gambling?
- Have you lost interest in your family, friends or hobbies?
- After losing, do you feel you must try and win back your losses as soon as possible?
- Do arguments, frustrations or disappointments make you want to gamble?
- Do you feel depressed or even suicidal because of your gambling?
The more you answer ‘yes’ to these questions, the more likely you are to have a serious gambling problem. To speak to someone about this contact the Gamble Aware confidential helpline on 0808 8020 133 or visit their website www.gambleaware.co.uk for further information.
The Charity complies with the Licence Conditions and Code of Practice governing the procedures for self-exclusion. We will take all reasonable steps to prevent an individual who has entered a self-exclusion agreement with ourselves from participating in our lottery.
Should a member of our staff receive correspondence from an individual who wishes to be self-excluded they will send out a Lottery Exclusion form to be completed and returned. Upon the return of the form the individuals details will be entered onto the self exclusion register. This will then be cross referenced against the existing membership and any new members signed up for the lottery for the period of the exclusion.
We will not target the individual with marketing material at any time during the self-exclusion. We will take steps to remove the name and details of a self-excluded individual from any marketing databases used by ourselves.
We will close any membership of an individual who has entered a self-exclusion agreement and return any funds held in their name.
We have put into effect the following procedures to ensure that an individual who has self-excluded cannot gain access to the lottery.
• A register of those excluded with appropriate records (name, address, lottery number, and any other appropriate comments).
• Staff training to ensure that staff are able to recognise and enforce the system.
• An individual must take positive action in order to self-exclude by way of a signature.
• The self-exclusion period is a minimum of six months (giving members the option of extending this if they so wish)
• The self-excluded member must take positive action to be removed from the self-exclusion and be able to enter the lottery at a future date.
• Upon notification the player will be given a one day cooling off period before being allowed access to the lottery.
• The record of the self-exclusion will remain on file until the agreement has been formally ended.
A key event is an event that could have a significant impact on the nature or structure of a licensee’s business. Licensees must notify the Commission, or ensure the Commission is notified, in such form or manner as the Commission may from time to time specify, of the occurrence of any of the following key events as soon as reasonably practicable and in any event within five working days of the licensee becoming aware of the event’s occurrence.
1 In the case of licensees which are companies, a petition being presented for their winding up or the winding up of any group company of theirs, or they or any group company being placed in administration or receivership or their directors proposing to creditors a composition in satisfaction of its debts or a scheme of arrangement of its affairs.
2 In the case of licensees which are bodies corporate, but not companies, any event substantially equivalent to those listed at 1 above.
3 In the case of a licensee who is an individual (or a partner in a partnership licensee) their being presented with a petition for their bankruptcy or sequestration or their entering into an individual voluntary arrangement.
Relevant persons and positions
4 In the case of licensees who are companies or other bodies corporate having a share capital, the name and address of any person who (whether or not already a shareholder or member) becomes a shareholder or member holding 3% or more of the issued share capital of the licensee or its holding company.
5 Any investment in a licensee which is not by way of subscription for shares.
6 The taking of any loan by the licensee, or by a group company who then makes an equivalent loan to the licensee, from any person not authorised by the Financial Conduct Authority: a copy of the loan agreement must be supplied.
7 The entering into an arrangement whereby a third party provides services to, or grants any licence concession or permission to, the licensee other than for full value: full details of the arrangements must be supplied.
8 The appointment of a person to, or a person ceasing to occupy, a ‘key position’: a ‘key position’ in relation to a licensee is:
a in the case of a small-scale operator, a ‘qualifying position’ as defined in the Gambling Act 2005 (Definition of Small-scale Operator) Regulations 2006
b in the case of an operator which is not a small-scale operator, a ‘specified management office’ as set out in (current) LCCP licence condition1.2
c a position the holder of which is responsible for the licensee’s anti-money laundering procedures, including suspicious activity reporting
d any other position for the time being designated by the Commission as a ‘key position’. (Notification is required whether or not the person concerned is required to hold a personal management licence and whether or not the event notified requires the licensee to apply for a variation to amend a detail of their licence.)
9 Any change to the structure or organisation of the licensee’s business which affects a ‘key position’ or the responsibilities of its holder.
10 Any material change in the licensee’s banking arrangements, in particular the termination of such arrangements or a particular facility and whether by the licensee or the provider of the arrangements.
11 Any breach of a covenant given to a bank or other lender.
12 Any default by the licensee or, where the licensee is a body corporate, by a group company in making repayment of the whole or any part of a loan on its due date.
13 Any court judgments (in whatever jurisdiction) against the licensee or, where the licensee is a body corporate, a group company, remaining unpaid 14 days after the date of judgment.
14 Where the licensee is required to have their accounts independently audited, any qualification to an auditors’ report; and any unplanned change of auditor including a change prompted by a dispute or resulting from auditors being unable or unwilling to sign an unqualified audit report.
15 Any change in the licensee’s arrangements for the protection of customer funds in accordance with the general licence condition 4 relating to the protection of customer funds (where applicable).
16 Where the licensee holds customer funds in a separate bank account, any deficit on reconciliation of such bank account.
Legal or regulatory proceedings or reports
17 The grant, withdrawal or refusal of any application for a licence or other permission made by the licensee, or in the case of a licensee which is a body corporate, any group company of theirs, to a gambling regulator in another jurisdiction. In the case of a withdrawal or refusal of the application, the licensee must also notify the reasons for such withdrawal or refusal. (This condition does not apply to applications for licences or other permissions to carry on activities which would fall outside the scope of a Gambling Commission operating licence if carried out in Britain or with customers in Great Britain.)
18 Any investigation by a professional, statutory, regulatory or government body (in whatever jurisdiction) into the licensee’s activities, or the activities in relation to the licensed entity of a personal licence holder or a person occupying a qualifying position employed by them, where such an investigation could result in the imposition of a sanction or penalty which, if imposed, could reasonably be expected to raise doubts about the licensee’s continued suitability to hold a Gambling Commission licence.
19 The receipt of any report from a professional, statutory or other regulatory or government body (in whatever jurisdiction) of the outcome of a compliance assessment in relation to the gambling activity of the licensee or, where the licensee is a body corporate, of any group company in which at least one person who holds a key position in or in respect of the licensee holds a key position: a copy of the report should be provided where available to the licensee.
20 The referral to the licensee’s Board, or persons performing the function of an audit or risk committee, of material concerns raised by a third party (such as an auditor) about the provision of facilities for gambling which are expressed (in whatever terms) as requiring attention as a high priority: a summary of the nature of the concerns must be provided.
21 The imposition by the licensee of a disciplinary sanction, including dismissal, against the holder of a personal licence or a person occupying a qualifying position for gross misconduct; or the resignation of a personal licence holder or person occupying a qualifying position following commencement of disciplinary proceedings in respect of gross misconduct against that person.
22 The commencement (in whatever jurisdiction) of any material litigation against the licensee or, where the licensee is a body corporate, a group company: the licensee must also notify the outcome of such litigation.
23 The making of a disclosure pursuant to section 330, 331, 332 or 338 of the Proceeds of Crime Act 2002 or section 19, 20, 21, 21ZA, 21ZB or 21A of the Terrorism Act 2000 (a suspicious activity report): the licensee should inform the Commission of the unique reference number issued by the United Kingdom Financial Intelligence Unit of the National Crime Agency in respect of each disclosure and for the purposes of this key event the five working day period referred to above runs from the licensee’s receipt of the unique reference number.
24 Any breach in the licensee’s information security that adversely affects the confidentiality of customer data or prevents customers from accessing their accounts for longer than 24 hours.
25 Any change in the identity of the ADR entity or entities for the handling of customer disputes, as required by the social responsibility code provision on complaints and disputes.
26 The reference of a dispute to an ADR entity other than one in respect of which contact details were given in accordance with the social responsibility code provision on complaints and disputes; the reason for selection of that ADR entity should be given.
27 In the case of remote gambling, the commencement or cessation of trading on website domains (including mobile sites or mobile device applications) or broadcast media through which the licensee provides gambling facilities.
In this condition:
‘body corporate’ has the meaning ascribed to that term by section 1173 of the Companies Act 2006 or any statutory modification or re-enactment thereof
a in respect of a company, ‘holding company’ and ‘subsidiary’ have the meaning ascribed to that term by section 1159 of the Companies Act 2006 or any statutory modification or re-enactment thereof
b a ‘group company’ is any subsidiary or holding company of the licensee and any subsidiary of such holding company.
The Charity agrees to abide by these terms and report any key event it becomes aware of to the Gambling Commission within 5 working days.