Appendix | Alcohol and Gaming Commission of Ontario

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Regulatory Risks

Risk Theme	Regulatory Risk
Entity Level	Lack of appreciation and understanding of critical elements of a risk based control environment Lack of defined Board mandate and independent oversight of management No mechanism for reporting wrong doing Inadequately documented management policies and procedures to define and align accountability skills and competence Lack of understanding about expected ethical behavior Lack of transparency in decision making Individual knowingly fails to comply
Responsible Gambling	Inappropriate advertising practices targets minors Advertising is false and misleadingly deceptive to attract the public Advertising deemed to promote excessive play Players allowed to play excessively Responsible gaming controls not designed into environment and product Players are unaware of risks to problem gambling and options to selfcontrol
Prohibiting Access to Designated Groups	Individuals prohibited from games of chance have access Selling product outside jurisdiction
Ensuring Game Integrity and Player Awareness	Inability to regulate all components Related parties winning at a higher relative percentage than the public Players have insufficient information to make an informed choice Game and system design lack integrity Game procedures are not followed Game and systems fail Betting markets are compromised by activities such as insider betting or game manipulation
Public Safety and Protection of Assets	People are not safe Assets and customer information are not safe-guarded Unauthorized individuals have access to prohibited areas
Minimizing Unlawful Activity Related to Gaming	Gaming used as a vehicle for money laundering Gaming used as a vehicle for fraud or theft Internal theft is occurring Cheat at play materializes within the gaming environment