Compliance checklist for liquor and gaming licensees and permit-holders Business Queensland

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When monitoring compliance, gathering evidence of suspected non-compliance, and exercising their statutory powers, our inspectors are required to do so in line with our regulatory principles, our internal policies, and our Code of Ethics and Conduct. In these instances, we will not hesitate to take strong enforcement action, including issuing penalty infringement notices, commencing prosecution action and/or applying or seeking further administrative penalties or conditions where appropriate. When an offence or improper conduct is alleged or identified, including where this has been raised by a member of the public or another agency through a report of non-compliance to us, we may initiate an investigation. This intelligence-led approach enables us to address and deter non-compliance or irresponsible conduct before it becomes a serious concern and helps shape future enforcement activity to better correct behaviours and mitigate any risk of harm. Our systems record all reports of non-compliance, whether alleged or established, and we draw on these intelligence holdings and the results of our monitoring programs to plan operational deployments. We publish or communicate our regulatory priorities and focuses in advance, and alert industry when we identify a specific or thematic risk or issue.
Artificial intelligence is transforming the way organisations operate, but it is also creating new privacy, governance, and compliance challenges. For further information on our approach to compliance and enforcement, or to discuss a particular set of circumstances, please contact us by email at Our regular engagement is complimented by more formal forums and working groups held with key industry and community stakeholders.
Remedial action is most appropriately used in response to allegations of low-risk offences or conduct. Offending conduct can often be addressed through engagement with a licensee or operator and may include a remote audit or review of relevant business records. We record all reports made to us for intelligence purposes but may not respond to every contact unless we require further information. Deterrence may be specific to the offence or may serve as a general deterrent to industry, to signal that certain behaviours will not be tolerated.
Reports of non-compliance we receive are assessed against uniform criteria, which help determine what action we will take and online pokies sign up bonus ensure our decisions are consistent. All staff within our inspectorate, audit and investigative teams are inspectors appointed under section 20 of the Gaming and Liquor Administration Act 2007. Ultimately, it is the responsibility of each commercial operator to make informed decisions about business models, promotions and products introduced to the market, and to manage their regulatory and legal risks accordingly. While we will provide advice to industry where appropriate, we cannot provide assurance on what complies in every instance. As co-regulators, we actively look for opportunities to collaborate and share information with NSW Police to improve our overall effectiveness and reduce potential duplication. Determining what level of scrutiny we will apply to any matter depends on an assessment process that is undertaken prior to any investigation being initiated. We conduct inspections to engage with industry, provide education and support, and monitor compliance.
We will review this policy every three years, or in response to any significant contextual change to ensure that it remains relevant, and that we are meeting our requirements, and responsibilities as a progressive regulator. This policy is relevant to our regulated entities, their staff, our co-regulators and the NSW community. The Compliance & Enforcement Policy sets out the principles that inform our compliance and enforcement decision-making processes, our governance arrangements, and our approach to regulatory activities and information sharing. The Compliance and Enforcement Policy sets out the principles that inform our compliance and enforcement decision-making processes, our governance arrangements, and our approach to regulatory activities and information sharing. As a licensee or permit-holder, you should complete these checklists regularly to ensure you’re complying with your legal obligations. In situations where we are dealing with a range of stakeholders or co-regulatory agencies, or where we are addressing significant or persistent risks, we will create an engagement framework that includes all relevant agencies and regulated entities, where appropriate. They provide more detail about the specific issues and risks we are targeting, and the activities we will undertake to address them.
For further information, visit our demerit point system page which include a list of demerit offences. Licensees, managers, and clubs incur demerit points for committing demerit offences or through a prescribed complaint made by L&GNSW or NSW Police to the Independent Liquor & Gaming Authority. Where a more serious offence has been detected, where there is a poor compliance history, or where it is otherwise in the public interest do so, we may opt to deal with offences by issuing a penalty infringement notice or by commencing prosecution action.
It is also important that we establish frameworks to both receive and share information and intelligence from and with law enforcement bodies, other government agencies and regulated entities where appropriate. The legislation we administer includes the power to take certain administrative actions, such as imposing conditions on a licence or issuing binding statutory directions. These warnings are recorded and form part of antecedents that will be considered should future offences be committed. We may publish guidelines that set out our approach to a particular issue or risk, or that set thresholds for non-compliance reports we will accept.
L&GNSW works closely with both the Independent Liquor & Gaming Authority (ILGA) and the NSW Independent Casino Commission (NICC), which are independent statutory authorities. Liquor & Gaming NSW (L&GNSW) administers the regulatory framework for the liquor, gaming, wagering, casino, and registered club sectors in NSW.