Enforcement Policy
The Authority exercises enforcement powers to maintain the integrity of the licensing regime. Enforcement action is taken in accordance with the principles of proportionality, consistency, and transparency.
◆ The enforcement policy defines the Authority’s approach to identifying, assessing, and responding to regulatory non-compliance by licensed operators. Enforcement action is proportionate to the nature, severity, and impact of the breach.
Enforcement Principles
The Authority’s enforcement approach is guided by the principles set out in the Regulatory Principles Charter. Enforcement action is taken only where necessary to protect the integrity of the licensing framework, and is applied consistently across all licensed entities.
The Authority considers the circumstances of each case, including the nature of the breach, the licence holder’s cooperation, and any steps taken to remediate identified deficiencies.
Escalation Framework
The Authority applies a graduated approach to enforcement. The level of action reflects the seriousness of the breach and may escalate where initial measures do not result in satisfactory remediation.
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01Compliance NoticesFormal notices requiring the licence holder to address identified deficiencies within a specified timeframe. Compliance notices are issued where the breach is remediable and the licence holder has not previously been subject to enforcement action for similar matters.
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02Administrative PenaltiesFinancial or administrative penalties imposed for breaches of licence conditions. Penalties may be applied where compliance notices have not been satisfied, or where the nature of the breach warrants direct action.
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03Licence SuspensionTemporary suspension of the licence, prohibiting the licence holder from conducting licensed activities during the suspension period. Suspension may be imposed pending investigation, remediation, or resolution of identified regulatory concerns.
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04Licence RevocationPermanent withdrawal of the licence. Revocation is imposed in cases of serious regulatory breach, persistent non-compliance, or where the Authority determines that the licence holder is no longer fit to hold a licence.
Publication of Enforcement Actions
The Authority publishes enforcement actions involving licence suspension and revocation in the public register and on the relevant enforcement pages. Publication of enforcement actions serves the Authority’s commitment to regulatory transparency and provides information to the public regarding the regulatory standing of licensed entities.
Important
The Authority may take immediate enforcement action without prior notice where the circumstances require urgent intervention to protect the integrity of the licensing framework or the interests of consumers.