Office of Public Sector Information
PART 5 continued
(1) The Secretary of State may make regulations requiring the holder of an operating licence—
(a) to notify the Commission of any change of circumstance of a prescribed kind in relation to him or to a licensed activity, and
(b) to give the Commission prescribed details of the change.
(2) If a change of circumstance notified under subsection (1) falsifies information contained in the operating licence in accordance with section 66 the notification must be accompanied by—
(a) the prescribed fee, and
(b) either—
(i) the licence, or
(ii) an application to the Commission for the issue of a copy of the licence under section 107.
(3) Where notification is accompanied by the licence, the Commission shall—
(a) make such alteration to the information contained in the licence as appears to it to be required by the change in circumstance, and
(b) return the licence to the licensee.
(4) Where the notification is accompanied by an application for a copy of the licence, the Commission shall, if it grants the application, issue the copy in a form which appears to the Commission to reflect the change in circumstance.
(5) In this section “prescribed” means prescribed by regulations under this section.
(6) The holder of an operating licence commits an offence if he fails without reasonable excuse to comply with regulations under this section.
(7) A person guilty of an offence under subsection (6) shall be liable on summary conviction to a fine not exceeding level 2 on the standard scale.
(8) This section does not prevent the imposition of a requirement to notify the Commission of a specified change of circumstance by way of the attachment of a condition to an operating licence.
(1) This section applies where the holder of an operating licence is a company limited by shares (“the company”).
(2) If a person becomes a controller of the company (“the new controller”), within the meaning of section 422 of the Financial Services and Markets Act 2000 (c. 8), the company shall inform the Commission and either—
(a) surrender the operating licence under section 113, or
(b) apply to the Commission under this section for a determination that the operating licence shall continue to have effect.
(3) An application under subsection (2)(b) must be accompanied by such information as the Commission may direct about—
(a) the new controller,
(b) his interest in the company, and
(c) his interest in any company of which the company is a subsidiary (within the meaning of section 736 of the Companies Act 1985 (c. 6)).
(4) On considering an application under section (2)(b) the Commission shall—
(a) make the determination sought, if satisfied that the Commission would have granted the operating licence to the licensee had the new controller been a controller of the company when the application for the operating licence was made, and
(b) otherwise, revoke the operating licence.
(5) If the Commission becomes aware that a company has failed to comply with the duty under subsection (2) within the period of five weeks beginning with the day on which the duty began to apply to the company, the Commission shall revoke the relevant operating licence.
(6) But the Commission may extend the period under subsection (5)—
(a) before it expires, or
(b) after it expires (if the relevant operating licence has not yet been revoked).
(1) The Secretary of State may by regulations provide for section 102 not to apply to the holder of a specified description of operating licence.
(2) An application under section 102(2)(b) must be accompanied by the prescribed fee.
(3) An application may be made under section 102(2)(b) in respect of a person who is expected to become a controller of a company.
(4) The Commission shall as soon as is reasonably practicable inform an applicant under section 102(2)(b) of—
(a) the Commission’s decision, and
(b) the reasons for it.
(5) In giving a direction under section 102(3) the Commission shall have regard to normal commercial practices in relation to the confidentiality of information.
(6) Regulations under subsection (2) above may, in particular, provide for a reduction of fee where the application is a result of—
(a) the merger of more than one company, or
(b) the division of a company.
(7) Revocation of an operating licence under section 102 shall be treated for all purposes (including the application of section 119) as revocation under section 119.
(1) The holder of an operating licence may apply to the Commission to vary the licence by—
(a) adding, amending or removing a licensed activity,
(b) amending another detail of the licence, or
(c) adding, amending or removing a condition attached to the licence under section 77.
(2) A licence may not be varied under this section so as to authorise anyone other than the person to whom it was issued to provide facilities for gambling.
(3) The provisions of this Part shall apply in relation to an application for variation as they apply in relation to an application for a licence—
(a) subject to the provisions of this section, and
(b) with any other necessary modifications.
(4) Regulations under this Part which relate to an application for an operating licence may make—
(a) provision which applies only in the case of an application for variation;
(b) provision which does not apply in the case of an application for variation;
(c) different provision in relation to an application for variation from that made in relation to an application for an operating licence;
(d) different provision in relation to applications for variations of different kinds.
(5) An application for variation must (in addition to anything required by section 69) be accompanied by—
(a) a statement of the variation sought, and
(b) either—
(i) the licence to be varied, or
(ii) a statement explaining why it is not reasonably practicable to produce the licence.
(6) In granting an application for variation the Commission—
(a) shall specify a time when the variation shall begin to have effect, and
(b) may make transitional provision.
(1) The Commission may require the holder of an operating licence to submit it to the Commission for the purpose of amendment to reflect—
(a) a general variation of conditions under section 75,
(b) a change notified under section 101,
(c) the grant of an application for variation under section 104,
(d) the attachment of an additional condition, or the amendment of a condition, under section 117,
(e) the grant of an application for renewal under section 112, or
(f) anything done in relation to a personal licence under Part 6.
(2) A licensee shall comply with a requirement under subsection (1) within the period of 14 days beginning with the day on which he receives notice of the requirement.
(3) A person commits an offence if he fails without reasonable excuse to comply with a requirement imposed under subsection (1).
(4) A person guilty of an offence under subsection (3) shall be liable on summary conviction to a fine not exceeding level 2 on the standard scale.
(5) Subsection (1)(a) is without prejudice to section 76(4)(c).
(1) The Commission shall—
(a) maintain a register of operating licences containing such details of and relating to each licence as the Commission thinks appropriate,
(b) make the register available for inspection by members of the public at all reasonable times, and
(c) make arrangements for the provision of a copy of an entry in the register to a member of the public on request.
(2) The Commission may refuse to provide access to the register or to provide a copy of an entry unless the person seeking access or a copy pays a fee specified by the Commission.
(3) The Commission may not specify a fee under subsection (2) which exceeds the reasonable cost of providing the service sought (but in calculating the cost of providing a service to a person the Commission may include a reasonable share of expenditure which is referable only indirectly to the provision of that service).
(1) The Commission may make arrangements to issue to a licensee on request a copy of an operating licence which has been lost, stolen or damaged.
(2) The arrangements may, in particular, include a requirement—
(a) for the payment of a fee not exceeding such sum as may be prescribed for the purposes of this subsection by the Secretary of State by regulations;
(b) in the case of a licence being lost or stolen, that the licensee has complied with specified arrangements for reporting the loss or theft to the police.
(3) A copy of a licence issued under this section shall be treated as if it were the licence.
(1) A constable or enforcement officer may require the holder of an operating licence to produce it to the constable or enforcement officer within a specified period.
(2) A licensee commits an offence if he fails without reasonable excuse to comply with a requirement under subsection (1).
(3) A person guilty of an offence under subsection (2) shall be liable on summary conviction to a fine not exceeding level 2 on the standard scale.
(1) If the holder of an operating licence is convicted of an offence by or before a court in Great Britain he shall as soon as is reasonably practicable notify the Commission of—
(a) his conviction, and
(b) any sentence passed in respect of it.
(2) If the holder of an operating licence is convicted of a relevant offence by or before a court in Great Britain he shall immediately inform the court that he is the holder of an operating licence.
(3) If the holder of an operating licence is convicted of a relevant offence by or before a court outside Great Britain he shall as soon as is reasonably practicable notify the Commission of—
(a) his conviction, and
(b) any sentence passed in respect of it.
(4) A person commits an offence if he fails without reasonable excuse to comply with any of subsections (1) to (3).
(5) A person guilty of an offence under subsection (4) shall be liable on summary conviction to a fine not exceeding level 2 on the standard scale.
An operating licence shall continue to have effect unless and until it ceases to have effect in accordance with—
(a) a determination under section 111, or
(b) section 113, 114, 115, 118 or 119.
(1) The Commission may determine that operating licences, or a specified class of operating licence, shall cease to have effect at the end of a specified period (unless terminated earlier in accordance with section 113, 114, 115 or 119).
(2) The period specified under subsection (1)—
(a) in the case of an operating licence issued after the determination, must begin with the date on which the licence is issued, and
(b) in the case of an operating licence issued before the determination, must begin with the date of the determination.
(3) The Commission—
(a) may determine different periods under subsection (1) for operating licences authorising different classes of activity (but may not otherwise determine different periods for different licences),
(b) may alter a determination under subsection (1) (but an alteration shall have effect only in relation to licences issued after the alteration), and
(c) may revoke a determination under subsection (1) (in which case the determination shall cease to have effect in relation to licences already issued).
(4) The Commission shall publish any determination under subsection (1) as part of a statement (or revised statement) under section 23.
(1) Where an operating licence is subject to a determination under section 111, the licensee may apply to the Commission for renewal of the licence.
(2) The provisions of this Part shall apply in relation to an application for renewal as they apply in relation to an application for a licence—
(a) subject to the provisions of this section, and
(b) with any other necessary modifications.
(3) An application for renewal of an operating licence may be made only during the period which—
(a) begins three months before the date on which the licence would otherwise expire by virtue of section 111, and
(b) ends one month before the date on which the licence would otherwise expire by virtue of that section.
(4) Where an application for renewal of an operating licence is awaiting determination on the date when it would expire by virtue of section 111, the licence shall continue to have effect by virtue of this subsection until the application is determined (unless it ceases to have effect by virtue of section 113, 114, 115, 118 or 119).
(5) A direction or regulations under this Part which relate to an application for an operating licence may make—
(a) provision which applies only in the case of an application for renewal;
(b) provision which does not apply in the case of an application for renewal;
(c) different provision in relation to an application for renewal from that made in relation to an application for an operating licence.
(6) An application for renewal must (in addition to anything required by section 69) be accompanied by—
(a) the licence to be renewed, or
(b) a statement explaining why it is not reasonably practicable to submit the licence to be renewed.
(7) The Commission shall determine the period during which a renewed operating licence is to have effect (subject to sections 113, 114, 115, 118 and 119); and the Commission—
(a) may determine different periods for operating licences authorising different classes of activity (but may not otherwise determine different periods for different licences),
(b) may alter a determination (but an alteration shall have effect only in relation to licences issued after the alteration), and
(c) shall publish any determination under this subsection as part of a statement (or revised statement) under section 23.
(8) The Secretary of State may by order amend subsection (3) so as to substitute a different time for a time specified.
An operating licence shall cease to have effect if the licensee—
(a) notifies the Commission of his intention to surrender the licence, and
(b) gives the Commission either—
(i) the licence, or
(ii) a written statement explaining why it is not reasonably practicable to produce the licence.
(1) In the case of an operating licence issued to an individual, the licence shall lapse if—
(a) the licensee dies,
(b) the licensee becomes, in the opinion of the Commission as notified to the licensee, incapable of carrying on the licensed activities by reason of mental or physical incapacity,
(c) the licensee becomes bankrupt (within the meaning of section 381 of the Insolvency Act 1986 (c. 45)), or
(d) sequestration of the licensee’s estate is awarded under section 12(1) of the Bankruptcy (Scotland) Act 1985 (c. 66).
(2) In any other case an operating licence shall lapse if the licensee—
(a) ceases to exist, or
(b) goes into liquidation (within the meaning of section 247(2) of the Insolvency Act 1986).
(1) Where the holder of an operating licence is convicted of a relevant offence by or before a court in Great Britain the court may order forfeiture of the licence.
(2) Forfeiture under this section shall be on such terms (which may include terms as to suspension) as may be specified by—
(a) the court which orders forfeiture,
(b) a court to which an appeal against the conviction, or against any order made on the conviction, has been or could be made, or
(c) the High Court, if hearing proceedings relating to the conviction.
(3) Subject to any express provision made under subsection (2), an operating licence shall cease to have effect on the making of a forfeiture order under subsection (1).
(4) The terms on which a forfeiture order is made under this section shall, in particular, include a requirement that the licensee deliver to the Commission, within such time as the order may specify—
(a) the licence, or
(b) a statement explaining why it is not reasonably practicable to produce the licence.
(5) As soon as is reasonably practicable after making an order for forfeiture under this section the court shall notify the Commission.
(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.
(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;
(d) make, amend or remove an exclusion under section 89(3);
(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).
(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.
(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).
(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).
(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.
Gambling Act 2005