Compliance
What we expect from licensees: AML/CFT, player protection, technical standards, and reporting. How we monitor, how we enforce, and where to find guidance.
Licensees must comply with the law, their licence conditions, and any codes or guidance we issue. We monitor compliance through returns, audits, and thematic work, and we take enforcement action where necessary. This page summarises the compliance framework, how we supervise, and what happens when things go wrong.
Compliance framework
Anti‑money laundering and counter‑terrorist financing
Licensees must have policies, procedures and controls to prevent money laundering and terrorist financing and comply with applicable AML/CFT law. We expect risk-based approaches and ongoing due diligence.
In practice:
- Risk assessment and policies proportionate to the business
- Customer due diligence, ongoing monitoring, and suspicious activity reporting
- Training and governance so that staff understand and apply AML/CFT controls
Player protection and responsible gambling
Licensees must implement measures to protect players, including age verification, identity checks, self‑exclusion, responsible gambling tools, and clear terms. Complaints about operator conduct are investigated by the Authority.
In practice:
- Age and identity verification before real‑money play
- Self‑exclusion (single-operator and multi-operator where applicable)
- Safer gambling tools, limits, and information; fair and transparent terms
Technical and security standards
Systems must meet our technical requirements for fairness, security, and data protection. This includes RNG certification, secure handling of funds and data, and incident reporting.
In practice:
- RNG and game fairness testing by recognised test labs
- Security of systems and data; incident and breach notification
- Availability and integrity of gaming and payment systems
Reporting and disclosure
Licensees must submit periodic returns and notify us of material events and changes. Timely and accurate reporting is essential for effective supervision.
In practice:
- Periodic returns as set out in licence conditions and guidance
- Notification of material events (e.g. changes in control, key persons, serious incidents)
- Accuracy of information provided to the Authority and, where required, to players
How we monitor
We supervise licensees through a combination of reporting, audits, technical testing, and complaint handling. This allows us to assess ongoing compliance and respond to emerging risks.
Returns and reporting
We review periodic returns and ad hoc notifications to assess ongoing compliance and identify emerging risks.
Audits and reviews
We may commission or rely on independent audits and carry out our own compliance reviews and thematic work.
Technical testing
Gaming systems and RNG implementations are tested against our standards; we recognise accredited test labs where appropriate.
Complaints and intelligence
Player complaints about operator conduct are investigated. We also use intelligence from other regulators and partners where relevant.
Enforcement
Where we identify breaches or serious concerns, we investigate and may take enforcement action. We use a range of tools depending on the nature and severity of the breach. Our approach is proportionate and evidence-led; we give licensees the opportunity to respond before we decide.
Possible outcomes include:
- Formal warnings and required remedial action
- Additional licence conditions or restrictions
- Financial penalties
- Suspension of the license or specific activities
- Revocation of the license in serious cases
Enforcement outcomes are published where the law permits—typically on our website and in our enforcement register—with case summaries and dates. Licensees are notified before public disclosure. For the latest enforcement notices and register, see our Services page or contact us.
Guidance and resources
We publish codes of practice (binding) and guidance notes (non-binding) on how to meet regulatory requirements. Licensees should follow our published guidance and keep up to date with consultations and framework updates. If you need clarification on how a requirement applies to your situation, contact our compliance team.
Compliance enquiries
For questions about your obligations, reporting templates, or how to interpret our guidance, contact the Authority.
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