Appeal

In accordance with section 14B of the Act, a person who is aggrieved by a decision of the Board made under these Regulations may appeal to the Appeals Tribunal under Part IIIA of the Act MADE by the Gaming Control Board this 13th day of November, 2014. Gaming Control 239 MICHAEL SINGH Chairman Gaming Control Board APPROVED by the Minister responsible for Gaming this 13th day of November, 2014. ERWIN R. CONTRERAS Minister of Trade, Investment Promotion, Private Sector Development and Consumer Protection 240 Gaming Control FIRST SCHEDULE Regulation 3 (1) ADMINISTRATIVE PENALTIES, OTHER THAN LATE PAYMENT PENALTIES Column 1 Column 2 Category of Disciplinary Violation and Description Penalty Range 1. Licensing Contravention $7,000 to $240,000 Licensee, (a) carrying on a type of gaming business not authorised by its licence; (b) operating a gaming machine or equipment not authorized by the Board; or (c) carrying on gaming business, or operating a gaming machine or equipment, in breach of a condition of its licence to a direction or directive issued by the Board. 2. Late Filing, Providing or Notification Licensee filing any document required to be filed, providing any document or information required by the Board to be provided or notifying the Board of any matter required to be notified after the last date on which the document is required to be filed or the document or information required to be Gaming Control 241 provided or the matter is required to be notified to the Board, (a) 1 – 30 business days late; $100 to $3,000 (b) 31 – 60 business days late; $3,100 to $6,000 (c) 61 – 90 business days late; $6, 100 to $9,000 (d) 91 – 120 business days late; $9,100 to $12,000 (e) 121 – 150 business days late; $12,100 to $15,000 (f) 151 or more business days late. $15,100 to $35,000 3. Failure to Obtain Approval $2,500 to $12, 500 Licensee taking any action for which the approval of the Board is required without having obtained the necessary approval. 4. Record Keeping Contravention $1,250 to $12, 500 Licensee failing to maintain any records required to be maintained or failing to maintain records in the manner or at the place required. 5. Contravention Relating to Policies, Systems and Controls $5, 000 to$25, 000 Licensee failing to, (a) establish or maintain policies, systems and controls or procedures required by the Act or regulations made under the Act to be established or maintained by the licensee; (b) establish or maintain a function required by the Act or regulations made under 242 Gaming Control the Act or regulations made under Act to be established or maintained by the licensee, including to appoint a compliance officer. 6. Contravention of AML/CFT Obligations $15,000 to $50,000 Licensee contravening any AML/CFT obligation 7. Other Contravention $250 to $12,500 Licensee committing any other contravention of the Act or regulations made under the Act not falling within a category specified above. Gaming Control 243 SCHEDULE Regulation 3(2) LATE PAYMENT PENALTIES 1. Where any fee or charge payable under the Act, or regulations made under the Act, is not paid on or before the day on which the payment is due, the following late payment penalties apply– (a) subject to subregulation (c), where the fee is paid 1-30 days after the due date, 10% of the fee payable; (b) subject to subregulation (c) for each additional period of 30 days, or any part, during which the fee remains unpaid, 10% if the fee payable; (c) where the late payment penalty calculated in accordance with subregulation (a) or (b) is lee than $20, the late payment penalty shall be $20. 2. Late payment penalties payable under subregulation 1(a) and (b) are cumulative, but shall not exceed 100% of the fee or charge payable.