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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 4: The scope of this document

Proposal 4: The scope of this document

The wording of paragraph 1.5 of the proposed version Statement of Principles for Determining Financial Penalties (SoPfDFP) remained the same as the wording in the existing version as stated in the consultation document. We sought views on whether the wording of this paragraph is adequate.

We also asked whether any other references, documents or content should be taken into account.

Consultation questions

Questions 14 and 161, as detailed in Annex 2 relate to this section.

Respondents’ views

There was no disagreement, and no substantive comments were made.

One respondent suggested that reference should also be made to the Regulators’ Code in this paragraph of the SoPfDFP.

Our position

It is our view that the relevant principles set out in the Regulators’ Code are either already covered elsewhere in the amended version of the SoPfDFP or in the Gambling Commission’s Indicative Sanctions Guidance2, therefore no changes are required.

Final wording

This requirement will come into force on 10 October 2025.

Paragraphs 1.5 of the amended SoPfDFP

The scope of this document

1.5. Section 121(6) of the Act requires the Commission to, among other things, prepare a statement setting out the principles to be applied by decision makers in exercising the Commission’s powers to impose financial penalties, and to have regard to the statement when exercising a power under this section. The Commission shall review this statement of principles from time to time and revise it when necessary to do so.

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.

2The Indicative Sanctions Guidance sets out a framework of matters that are relevant to decisions as to whether the Commission should exercise its powers of regulatory enforcement, and if so, what the appropriate sanction might be.

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