Licensees

Individuals

This section provides detailed information for individuals wishing to apply for a licence. It covers Licence applicants, who should apply for a licence, what we expect from licence applicants, how applications are assessed, how to apply and our expectations of licensees.

Licence applicants

Individuals who wish to apply for either a Casino Employee or a Casino Key Employee licence must either have a contract or an offer of employment from the ICR operator. Applications received that do not meet these criteria will not be accepted and could lose their application fees.

A licence will not be granted if:

• an individual has been convicted of a felony (serious crime punishable by imprisonment in that jurisdiction of more than one year) which occurred within the past ten-year period (from date of application) in any jurisdiction;
• an individual is currently being criminally prosecuted, or he/she has pending charges for a felony in any jurisdiction in the past ten-year period (from date of application);
• an individual is barred from any casino in any jurisdiction in the past ten-year period (from date of application) by an exclusion order.

Who should apply for a licence?

Casino Employee licence – Individuals must apply for a Casino Employee licence if they are employed or due to be employed in the operation of the casino. This includes without limitation:

• dealers or croupiers
• machine mechanics
• security employees
• accounting staff
• collections personnel
• surveillance personnel
• personnel whose duties require or authorise access to restricted casino areas.

Casino Key Employee licence – Individuals must apply for a Casino Key Employee licence if they are employed or due to be employed by the casino operator in a supervisory capacity or empowered to make discretionary decisions which regulate the casino operations. This includes without limitation:

• personnel whose duties require or authorise access to restricted casino areas.
• shift bosses
• cashier supervisors
• casino managers
• assistant managers
• managers and supervisors of casino security employees
• any role empowered to make discretionary decisions.

Individuals should also apply for a Casino Key Employee licence if their role means they are responsible for:

• overall strategy and delivery of gambling
• financial planning, control and budgeting
• marketing and commercial development
• regulatory compliance
• gambling-related IT provision and security
• money Laundering or they are a major investor or partner in the casino.
• any role empowered to make discretionary decisions.

What we expect from licence applicants

Individuals who apply for a Casino Employee/ Casino Key Employee licence must:

• be able to demonstrate that they can meet the Commission’s suitability assessment
• ensure that the activities they plan to carry out will be conducted in a manner which minimises the risks to the licensing objectives
• work with the Commission in an open and co-operative way, and
• disclose to the Commission anything which the Commission would reasonably expect to know.

How the application is assessed

The Commission will take a number of factors into consideration whilst processing an application. The application will be assessed against five basic areas:

• identity – The identity of the applicant will be established and verified using appropriate official documentation. The Commission also asks for a current photograph of the applicant and will check that this is consistent with any photographs on any identity documents.
• finances – The past and present financial circumstances of the applicant will be investigated to ensure that the licensing objectives will not be put at risk. Where a casino key employee is also providing funding for the Casino business the Commission will want to be assured about the integrity and source of such funds.
• integrity – The integrity of the applicant will be assessed using a variety of means. The Commission will consider whether the information it collects raises any concerns about integrity. This includes an assessment of an applicant's criminal record and any past involvement in civil or regulatory investigations or proceedings. The Commission will also consider the manner by which the applicant has conducted themselves with specific regard to the provision of gambling in other jurisdictions. The Commission will also consider the evidence and findings of any complaints about the applicant and/or investigations by other regulators. Applicants who have held a licence(s) in another jurisdiction are, as part of the documentation to be submitted with the application form, required to provide a letter of conduct from the jurisdiction dated within sixty days of the application.
• competence – The experience, expertise, and qualifications of the applicant will be taken into consideration when rating their overall competence to hold a licence and minimise the risks to the licensing objectives. The Commission will require assurances that references have or will be taken up and may review those references. It may review the CVs of the applicant to assess their work experience and the training they have received which demonstrates their competence to carry out the role required of them. Where the applicant is new to the gambling industry the Commission will seek assurance as to what suitable training or briefing in gambling regulation is planned.
• criminality – Any prior offences committed by the applicant will be taken into account when assessing an application. If the applicant has been convicted of a felony (serious crime punishable by imprisonment in that jurisdiction of more than one year) which occurred within the past ten-year period in any jurisdiction the licence will not be granted. Likewise, if the applicant is currently being prosecuted or has any pending charges for a felony in any jurisdiction in the past ten-year period the application will be refused. For all other previous offences each case will be considered on its individual merits, and consideration will be given to the seriousness, relevance and date of the conviction. In evaluating the seriousness and relevance of an offence, the Commission's assessment will focus on whether the conviction has a potential bearing on suitability to hold a licence and will have regard to the public interest and the importance of upholding proper standards of conduct and competence by licensees.

Each of the above factors will be assessed using both the information provided as part of the application and information available from other sources (for example, government departments, overseas regulators, open source checks).

For every application, the Commission has the power to:

• grant a licence
• limit the scope of licensed activities that can be carried out in accordance with a licence
• attach conditions to the licence, or
• refuse a licence where there are reasons to do so.

Licensees

Licensees should familiarise themselves with the Casino Operations and Control (General) Regulations of 2016, Part VIII, section 28.

In addition, licensees must continue to:

• provide information, documentation and assurances required by the Regulations and the Commission and reveal any fact material to their qualification and correct any information which is untrue or misleading as to a material fact pertaining to the qualification criteria
• not be convicted of a felony in any jurisdiction
• not be prosecuted for a felony in any jurisdiction, and
• not be barred from the ICR or from a casino in another jurisdiction.

Furthermore, licensees must notify the Commission within five working days, or as soon as reasonably practicable after they become aware of any of the following events:

• that they are subject to any criminal investigation of a felony offence in any jurisdiction
• their conviction of any felony in any jurisdiction
• any current or pending investigation by a professional, statutory or regulatory or government body in any jurisdiction
• refuse a licence where there are reasons to do so.
• the imposition of a disciplinary sanction against them, including dismissal for gross misconduct
• their resignation from a position for which a licence is required
• termination of employment with the ICR for whatever reason, and
• a change in their name or address.

Finally, the licensees must keep themselves informed of developments in gambling legislation and any guidance issued by the Commission relevant to their role and where applicable must keep their technical competence in respect of their licensed activities up-to-date.

What the Commission expects from licensees:

The Commission expects licensees to conduct themselves in a professional and honest manner that does not put the licensing objectives at risk. It also expects those holding licences to:

• conduct all their business lawfully
• conduct all their business with integrity
• act with due care, skill and diligence
• maintain adequate financial resources
• have due regard to the interests of customers and treat them fairly
• have due regard to the information needs of customers and communicate with them in a way that is clear, not misleading, and allows them to make a properly informed judgement about whether to gamble
• manage conflicts of interest fairly
• work with the Commission in an open and cooperative way, and
• disclose to the Commission anything which we would reasonably expect to know.