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Services › Casino and Non-Casino Gaming › Compliance Investigations and Audits
- Our Approach to Compliance and Enforcement
- Net proceeds
- Gambling Compliance Audits
- Self-Assessment Reviews
- Cessation of Class 4 Licences
- Approach to Compliance and Enforcement
Our Approach to Compliance and Enforcement
The Policy sets out the principles the Gambling Group follow to ensure we are deliberate and consistent in the way we operate. It outlines the different regulatory models that inform our decision-making, from providing education and assistance to support compliance, through to pursuing legal action when necessary.
- Gambling Compliance and Enforcement Policy (PDF, 545KB)
Net proceeds
Monitoring net proceeds
Monthly reporting requirements were introduced in November 2020 to monitor changes to the rules around distributing net proceeds. These changes follow the amendments to the Net Proceeds Regulations.Self-Assessment Reviews
We have developed Self-Assessment Reviews, based on the Department's own audit checklist, to provide societies and clubs with an ability to:
- Test their own levels of compliance of their gaming machine operations with the requirements of the Gambling Act 2003, related regulations, licence conditions and game rules
- Identify areas where internal policies, systems and procedures should be developed, enhanced or strengthened
- Put measures in place immediately to rectify any areas of non-compliance identified.
Harm Prevention and Minimisation Guidelines will assist societies in self-checking levels of compliance against the Gambling Act 2003 and regulations relating to Harm Prevention and Minimisation.
Cessation of Class 4 Licences
Cessation Review Guidelines will assist clubs and societies in the winding up of their gaming machine operations, and the subsequent review of their final set of accounts.Clubs and societies may also wish to use the Cessation Pack. Once completed this pack contains the minimum information required for the cessation of a Class 4 Operator's Licence.
