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Statement of principles for determining financial penalties

The Commission's statement of principles for determining financial penalties.

Published
1 June 2017

Last updated
10 July 2025 - Changes

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  1. Contents
  2. Proposal 3: The legal framework

Proposal 3: The legal framework

The wording of paragraph 1.4 of the proposed version of the Statement of Principles for Determining Financial Penalties (SoPfDFP) remained the same as the wording in the existing version as stated in the consultation document, except that the Gambling Act 2005 is referred to as “the Act”. We sought views on whether the wording of this paragraph, as proposed, is adequate.

Consultation questions

Questions 13 and 161, as detailed in Annex 2 relate to this section.

Respondents’ views

Responses were mixed with most comments suggesting that the wording should be amended to mirror section 121(5) of the Gambling Act 2005 (the Act) accurately.

Our position

We have considered the comments raised by stakeholders in the consultation responses and have made minor changes to the wording to ensure consistency with the Act. They are not substantive changes to the proposed version of the SoPfDFP.

Final wording

This requirement will come into force on 10 October 2025.

Paragraphs 1.4 of the amended SoPfDFP

The legal framework

1.4. Section 121 of the Act provides that 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 breached2. The Commission may impose a financial penalty following a review under section 116(1) or (2) of the Act. The Commission also has the power to impose a financial penalty without carrying out a licence review. Once a financial penalty has been imposed the Commission pays received monies into a Consolidated Fund, once it has deducted its direct costs, and a reasonable share of its expenditure which is indirectly referable to 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 the imposition and enforcement of the penalty, as set out at section 121(5)(c) of the Act.

References

1 Question 16 allowed for respondents to make general comments and suggestions on Section 1 of the SoPfDFP. Comments and feedback received in response to Question 16 have been incorporated into the relevant sub-sections, where appropriate.

2It will, by virtue of section 82, include breach of a provision in a social responsibility code of practice.

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