Licensee Relationship Management System. User Manual

Transcription

1 Licensee Relationship Management System User Manual

2 Contents 1 Introduction... 5 Navigating through the portal Access to the LRMS portal... 6 Register new portal account... 7 Sign In as existing user... 8 Portal home page... 9 User account settings Profile Manage Permissions Access Approvals Request Access Company Details New Licence Application Types of Licence Application Scenario A Scenario B Start New Licence Application Selection Panel Application of Licence for New Licensee Licence Holder Type Licence Type Licence Channel Tab 1: Terms and Conditions Tab 2: General Tab 3: Entity Declaration Terms and Conditions Existing Licensee Entity Details Group Companies* Litigation Directorships and Business Affiliations Financial Details Enclosures Malta Gaming Authority 2018 ` Page 2 of 78

3 Tab 4: Outsourcing General Outsourcing Service Provider Details Enclosures Confirm Tab 5: Financial Management Information Terms and Conditions Existing Company Details Enclosures Tab 6: Personal Declaration Terms and Conditions Existing Contact Personal Details Involvement Type Passport and Residence Details Arrests, Detentions and Litigation Employment Directorships and Business Affiliations Bank References Financial Details PEP Enclosures Tab 7: Gaming Information Terms and Conditions Existing Company Game Types Providers Hardware, Hosting and Co-Location Primary Hosting Other Primary Hosting Optional Replication Hosting Disaster Recovery Hosting* RNG & Jackpot Servers and Critical Components Enclosures Malta Gaming Authority 2018 ` Page 3 of 78

4 Tab 8: Domains Terms and Conditions Details Confirm Tab 9: Approval of New Games Terms and Conditions Details Enclosures Confirm Tab 10: Policies and Procedures Tab 11: Confirm Submission of the Player Funds Report Tab 1: Start Tab 2: Companies and Licences Tab 3: Player and Jackpot Funds Tab 4: Clients Accounts Tab 5: Attachments Tab 6: Confirm Recognition Notice Tab 1: General Tab 2: Entity Details Terms and Conditions General Entity Details Tab 3: Details Tab 4: Domains Terms and Conditions Details Confirm Tab 5: Enclosures Tab 6: Confirm Malta Gaming Authority 2018 ` Page 4 of 78

5 1 Introduction This User Manual is intended to provide help to the portal user who will be filling in online forms and using services on the Licensee Relationship Management System (LRMS). Each section provides a stepby-step guide on what information needs to be inputted and how this can be done. It is the user s responsibility to fill in all forms with the correct information for a smooth application experience. The Authority will not accept application forms that are incomplete or filled with inconsistent/incorrect data. Some important points to keep in mind while filling forms on the LRMS are described in Section 1.1. Navigating through the portal i. Information entered in each tab is only saved when clicking on Next, otherwise it will be lost. ii. Navigating from one tab to another can be done by clicking on Previous or Next. iii. The order with which information is filled in shall not be necessarily the same as the order in which the tabs are presented (Example: tab 5 can be filled in before tab 3). iv. Information can be edited until the application form is submitted to the Authority. v. Should the user need to edit information within an application form that has been submitted but that is still pending approval from the Authority, the user shall notify the Authority and request for editing rights. If the form has been submitted and already approved by the Authority, the appropriate Change to an Existing Licence form shall be submitted to the Authority. vi. Each company linked to the portal user has its own timeline. vii. Fields marked with (*) are mandatory. viii. Error prompts are clickable to automatically select the field which requires the user s attention. ix. Attachments uploaded in the Enclosures sections can only be deleted within 24 hours. x. Some fields have data validation properties. Malta Gaming Authority 2018 ` Page 5 of 78

6 2 Access to the LRMS portal To access the LRMS portal, visit the Malta Gaming Authority website and select the eservices button at the top right corner of the Home page. Figure 1 eservices button The user will be redirected to the Licensee Relationship Management System page. Figure 2 LRMS page Malta Gaming Authority 2018 ` Page 6 of 78

7 Register new portal account To register as a new LRMS user, click on the Register button at the top right corner. The user is asked to enter personal and company details, as well as to create the LRMS log in credentials. Note: Password shall be at least 8 characters long, with at least one of the characters being a digit (0-9) and another one being a capital letter (A-Z). Figure 3 Register button Figure 4 Registration for new portal account An account is created by either linking the new profile to an existing company (that has already been approved by the Authority) or by creating a new company name. In cases where the profile is linked to an existing company, the company name shall be selected from the Existing Company field dropdown menu. Malta Gaming Authority 2018 ` Page 7 of 78

8 By creating a portal account, the user is confirming that the MGA s Privacy Policy has been read and consenting to MGA s collection and processing of his personal data (including, where applicable, special category data). Verification that the user is a human is also required. Figure 5 User verification When registering, a receipt confirming that the registration has been received by the Authority will be sent to the user. A confirmation will subsequently be sent to the user by the Authority to confirm the approval of the new account. Sign In as existing user To sign in to the LRMS portal, click on Sign In at the top right corner of the LRMS home page. The credentials that were chosen during registration shall be entered in the appropriate fields. Figure 6 Sign In Malta Gaming Authority 2018 ` Page 8 of 78

9 Portal home page The first time that a user registers for a portal account, the timeline will look empty and no data will be available, except for the company name that was provided during registration c b Figure 7 Portal home page a Note: Whenever updates are carried out in the portal, a notification will appear after log in. Figure 8 New deployments The following list describes the main features of the portal homepage as labelled in Figure 7: 1. Drop-down menu related to user account settings Figure 9 Drop Down Menu - User Account Settings Malta Gaming Authority 2018 ` Page 9 of 78

10 2. Select company from list of linked companies to show the respective timeline. The current selected company is the company shown next to the user s name (see No 1 above) Figure 10 Company Selection 3. Main details of selected company 4. Main Menu for list of applications and services Figure 11 List of Available Services and Applications 5. Timeline: The timeline is a dedicated list of all the forms and services created by the user of the selected company (see No 2 above), colour-coded by their status classification, in chronological order (by date of creation). a) Explanation of the timeline legend Figure 12 Timeline Legend b) Scroll arrow to view items which are not visible in the timeline c) Today arrow shows the position of the current day with respect to the timeline Once an application (or other service) is created, the audit trail of the application can be viewed. When a number of services are created, a toggle feature to show All or Draft only applications is available in the timeline. Figure 13 All/Draft Toggle on Timeline Malta Gaming Authority 2018 ` Page 10 of 78

11 User account settings Profile The profile allows the user to see the details related to the user information, company names, user role within each linked company and security settings. Notes: 1. Fields within the Profile section are not editable. 2. Fields are first populated from the registration details, then by an approved Entity Declaration and Personal Declaration submitted through the LRMS. Manage Permissions Figure 14 Portal user profile The Manage Permissions option describes the portal roles assigned for each user that is linked to the selected company. The roles associated to the users can be seen in the Permissions column. Note: A user can have multiple roles. Figure 15 Manage Permissions Malta Gaming Authority 2018 ` Page 11 of 78

12 To edit the permissions of a user, the right arrow next to the user s name shall be selected and the check box shall be used to assign or remove the applicable role. Access Approvals Figure 16 Selecting user roles Access approvals lists any pending requests from portal users who would like to be linked to an existing company. The requests are only received and approved by a Power User of that particular company. Note: After approving a request by a user, the correct permission role shall be assigned as described in Section Request Access Figure 17 Access Approvals In order for a portal user to access an existing company, a request shall be sent to the Power User by selecting the company name and the user s role within the company from the drop-down menus. A list of requests sent by the portal user together with the request status is shown in a table at the bottom of the Request access page. Figure 18 Request access Malta Gaming Authority 2018 ` Page 12 of 78

13 If the company for which the portal user is requesting access to, is still pending approval from the Authority, Is Company still Awaiting Approval? checkbox shall be selected and the exact company name shall be entered. Figure 19 Company awaiting approval Following the approval of the request, the portal user will be able to view the company s timeline from the Select Company option as described in Section 2.3. Company Details The Company Details option gives account information and registered and operational addresses of the current selected company. Notes: 1. Fields within the Company Details section are not editable. 2. Fields are populated from an approved Entity Declaration submitted through the LRMS. Figure 20 Company Details Malta Gaming Authority 2018 ` Page 13 of 78

14 3 New Licence Application Types of Licence Application With the introduction of the new legislation, a licence can be a B2B Critical Supply Licence, or a B2C Gaming Service Licence, or both. Below are their definitions as explained in the Gaming Definitions Regulations. B2B Critical Supply Licence means a material supply which is: a) Indispensable in determining the outcome of game or games forming part of the gaming service; and, or b) An indispensable component in the processing and/or management of essential regulatory data. B2C Gaming Service Licence means making a game available for participation by players, whether directly or indirectly, and whether alone or with others, as an economic activity. In view of the legislative changes that will come into force on 1 st July 2018, certain licensees and/or potential licensees will opt for a Corporate Licence. Sections and give a description of two typical scenarios and indicate the type of licence that should be applied for in each of the scenarios. Scenario A A B 2 B 1 (Both) C 2 B2B C 3 B2C C 1 B2C Figure 21 Scenario A O Corporate Cloud O B2B O B2C B 1 Reporting Entity Malta Gaming Authority 2018 ` Page 14 of 78

15 Suppose that company C 2 offers services to companies non-related to the corporate structure. In this scenario the corporate licence obtained for Reporting Entity, B 1, holds entities with B2C Gaming Service Licence and B2B Critical Supply Licence. Thus the operator B 1, should apply for: i. A corporate licence holder type ii. Both (B2B & B2C) licence type iii. Remote licence channel Scenario B A B 1 (B2C Only) C 2 B2B O Corporate Cloud O B2B B 1 Reporting Entity Figure 22 Scenario B In this scenario the corporate licence obtained for Reporting Entity, B 1, holds entities with B2C Gaming Service Licence only. This is because B2B Critical Supply services are provided to companies related to the corporate structure. Thus the operator B 1, should apply for: i. A corporate licence holder type ii. B2C licence type iii. Remote licence channel Malta Gaming Authority 2018 ` Page 15 of 78

16 Start New Licence Application Ideally, before starting a new licence application, the portal user selects the company (see Section 2.3 No 2) for which the new licence application shall be applied for. Should the user start the application while on a different company s timeline, the user will still be asked to select the company in the next step (see Section 3.3.1). From the Main Menu (see Section 2.3 No 4), the gaming service request New Licence Application shall be selected. Selection Panel Application of Licence for New Licensee Figure 23 Gaming Services: New Licence Application A new Gaming Licence can be applied for in the case of an existing registered company, or in the case of a new licensee. In cases where the company is an existing one, the portal automatically inserts the Selected Company in the Company field. If the application is for an existing company that is not the Selected Company, the company name shall be selected from the lookup function. Figure 24 Application for existing company Malta Gaming Authority 2018 ` Page 16 of 78

17 Figure 25 Lookup function for Company name Otherwise, if the licence application is for a new company, the new company name shall be obligatorily specified. Licence Holder Type Figure 26 Application for new company The Licence Holder Type shall be determined for a new licence application. There are 3 different Licence Holder Types, in particular: 1. Gaming Licence 2. Corporate Licence (for a corporate group 1 ) 3. Limited Duration Figure 27 Licence Holder Type Note: Gaming and Corporate Licence carry a one-time non-refundable application fee of 5,000, whereas a Limited Duration Licence carries a one-time non-refundable application fee of 500. Licence Type Licence Type shall be selected for any of the Licence Holder Type (see Definitions in Section 3.1). Figure 28 Licence Type 1 corporate group means a group of bodies corporate all established in the European Economic Area or otherwise structured in a manner which provides equivalent safeguards, in which a parent entity exercises control to the extent of over 90% over other bodies corporate in the same group, whether by way of shareholding or voting rights. Malta Gaming Authority 2018 ` Page 17 of 78

18 Licence Channel Currently, the licence channel can only be Remote. Figure 29 Licence Channel Note: As soon as this step is completed and saved by pressing APPLY, the online application is created in the company s timeline, colour-coded according to the status of the application as described in Section 2.3. Tab 1: Terms and Conditions The Terms and Conditions tab gives an overview of what is expected from the portal user in terms of navigating through the various steps of the application, payment details for the application, application standard information and general terms and conditions. By clicking on Next, the portal user is accepting the Terms and Conditions for a new licence application. Tab 2: General General gives a summary of the options which were selected in the Selection Panel tab (see Section 3.3). Figure 30 General Malta Gaming Authority 2018 ` Page 18 of 78

19 Tab 3: Entity Declaration A new Entity Declaration shall be created for each new licence application by clicking on Add Entity Declaration. This will open a set of tabs related to the Entity Declaration. Notes: Figure 31 Add Entity Declaration 1. An application without an Entity Declaration is considered as incomplete and therefore will not be processed. 2. When an Entity Declaration is created, it is shown in the Entity Declaration grid. The user may still edit the information entered before submitting the new licence application form or delete the Entity Declaration. Should the user wish to delete an Entity Declaration, a notification for confirmation will be shown. Figure 32 Editing/Deleting Entity Declaration Figure 33 Delete Confirmation 3. Multiple Entity Declarations can be created for each application. Terms and Conditions Figure 34 Multiple Entity Declarations Provides the terms and conditions related to the Entity Declaration forms. By clicking on Next, the portal user is accepting the Terms and Conditions for the Entity Declaration. Malta Gaming Authority 2018 ` Page 19 of 78

20 Existing Licensee An Entity Declaration can be submitted for a new or an existing approved licensee. Figure 35 Yes/No Selection - Existing Approved Licensee If the Entity Declaration is for an existing licensee, the company name shall be selected from the lookup function (see Section 3.3.1). In cases where an entity has previously submitted an Entity Declaration through the LRMS, the new Entity Declaration will be pre-filled with the company s latest information. Entity Details Figure 36 Pre-filled Entity Declarations for Existing Approved Entities This tab includes fields related to entity details regarding registration of the company, names of decision making individuals, persons effectively directing and beneficial owners. Figure 37 Company details Malta Gaming Authority 2018 ` Page 20 of 78

21 Note: A start-up undertaking 2 shall mean a person who, at the date of the licence application, fulfils all of the following criteria: a) That person has been established or operational in the same or a related sector for less than five (5) years; provided that, unless the business is operated in a different form, establishment shall mean the date of registration in the case of limited liability companies, the date of the agreement establishing a partnership, the date of registration as a selfemployed person, or as may otherwise be determined by the Authority. b) In the case of a body corporate, that person has not yet distributed profits. Figure 38 Registered and Operating address 2 As defined in the Gaming Licence Fees Regulations Malta Gaming Authority 2018 ` Page 21 of 78

22 Searching for a record in the lookup functions of Country of registration/country, and Telephone prefix can be navigated either by using the left/right arrow buttons, or by typing partial/full country names in the search field. Selection of the appropriate country can be done by clicking on the correct record and then clicking on Select. Figure 39 Lookup function Decision making individuals, persons effectively directing and beneficial owners are represented in a table. Multiple names can be created for each of these sub-sections. To add a new person, click on the appropriate add button. All individuals entered in this section need to complete a Personal Declaration. Figure 40 Adding Details of key individuals Malta Gaming Authority 2018 ` Page 22 of 78

23 Note: Individuals can be occupying any of the following 9 roles; Chief Executive Officer, Responsibility for Gaming Operations, Responsibility for Finance, Responsibility for Legal Affairs and Compliance of the applicable regulatory instruments, Responsibility for marketing and advertising, Responsibility for Player Support, Responsibility for Information Security, Responsibility for Anti-Money Laundering or Responsibility for Data Protection. Each individual entered will be shown in a grid under each section. The details entered for the individuals created in these grids can be edited unless the application form has already been submitted to the Authority. To edit the details, click on the arrow in-line with the individual s name. Group Companies* Figure 43 Edit individual's details Note: This tab is only visible for Corporate Licence Holders. Figure 41 Figure Group 42 Companies Details for Tab Individuals within Entity Added Declaration Malta Gaming Authority 2018 ` Page 23 of 78

24 To add summary information on a company, select Add Group Companies. This information shall be provided for each company included in the Corporate Licence holder and is not editable. Figure 44 Add Group Companies The summary information requires the Registered name for the company, whether it is the Reporting Entity (thus being the entity described in the primary Entity Declaration), and if the company is a Start- Up. Figure 45 Summary information on Group Companies Malta Gaming Authority 2018 ` Page 24 of 78

25 Litigation A set of questions related to any past or pending legal process must then be answered using the dropdown menu for each question. Figure 46 Litigation Should any of the answers be Yes, details shall be provided and any related documents shall be attached in the Enclosures section. Figure 47 Box for Entering Details (if required) Malta Gaming Authority 2018 ` Page 25 of 78

26 Directorships and Business Affiliations This section contains another set of questions related to Directorships and Business Affiliations using drop-down menus. Note: If the Entity has never been associated with any ownership, administration or management of gaming related activities, or held any financial interest in them, the drop-down menus will be automatically set to No and are not editable. Otherwise, each field needs to be answered. Figure 48 'No' association Figure 49 'Yes' association Malta Gaming Authority 2018 ` Page 26 of 78

27 Financial Details The Entity s Source of Funds and Source of Wealth need to be specified in this section. Enclosures Figure 50 Financial details General notes on the documents that need to be attached (Personal documents, Certification of Documents and Translation Certification) are provided in the first section of the Enclosures Tab. Documents are to be submitted individually in the correct field as specified by the title of the document. In cases where the documents are uploaded incorrectly, the application will be rejected by the Authority. Note: Uploaded documents can only be deleted within 24 hours. Figure 51 Example of individual upload sections Malta Gaming Authority 2018 ` Page 27 of 78

28 The documents needed for an Entity Declaration are: 1. Memorandum and Articles of Association 2. Certificate of Registration 3. Financial Statements 4. Delegating Powers to Representative 5. Share Register 6. Appointment of Legal Representative 7. Source of Funds 8. Company Structure 9. Other Agreements Tab 4: Outsourcing To add new Outsourcing of Critical Supplies, Material Supplies & Key Functions click on Add Outsourcing Figure 52 Add Outsourcing of Critical Supplies, Material Supplies & Key Functions After an Outsourcing of Critical Supplies, Material Supplies & Key Functions is created, the details can be edited by clicking on the edit arrow. General This tab provides the General Application Information. By click on Next, the portal user is accepting the General Standard Information. This tab also requires the portal user to declare the Registered Name and Licence of entity seeking the Outsourcing of Critical Supplies, Material Supplies & Key Functions. It is also required that the user declares which type of Outsourcing shall be provided. Malta Gaming Authority 2018 ` Page 28 of 78

29 Figure 53 Registered Name and Licence Outsourcing Service Provider Details Figure 54 Type of Outsourcing In the Outsourcing Service Provider Details the user is required to list information pertaining to the service provider. Details include, the company providing the service, contact details of person within Licensed Entity delivery the Outsourced Service and contact details of person within Licensed Entity overseeing the Outsourced Service. As depicted in figures 56 and 57 the portal user is also required to provide the type of Licence/Certification/Permit/Approval which is held by the provider, and details relating to the Common Ownership of Outsourcing Service Provider and Licensee. Malta Gaming Authority 2018 ` Page 29 of 78

30 Figure 55 Outsourcing Service Provider Details Figure 56 Type of Licence/Certification/Permit/Approval Malta Gaming Authority 2018 ` Page 30 of 78

31 Figure 57 Common Ownership of Outsourcing Service Provider and Licensee Enclosures In this section the portal user is required to upload documents relating to the Outsourcing of Critical supplies, Material Supplies & Key Functions. Documents are to be submitted individually in the correct field as specified by the title of the document. In cases where the documents are uploaded incorrectly, the application will be rejected by the Authority. Note: Uploaded documents can only be deleted within 24 hours. The documents needed for an Outsourcing of Critical Supplies, Material Supplies & Key Functions are: 1. Proposed Agreement 2. Outsourcing Service Provider Proof Confirm Figure 58 Enclosures The Confirm step simply saves the Outsourcing of Critical Supplies, Material Supplies and Key Functions. Tab 5: Financial Management Information Malta Gaming Authority 2018 ` Page 31 of 78

32 To add new Financial Management Information click on Add Financial Management Information. Figure 59 Add Financial Management Information After a Financial Management Information is created, details can be edited by clicking on the edit arrow. Terms and Conditions Figure 60 Edit Financial Management Information Provides the terms and conditions related to the Financial Management Information. By clicking on Next, the portal user is accepting the Terms and Conditions. Malta Gaming Authority 2018 ` Page 32 of 78

33 Existing Company The portal user shall specify whether the Financial Management Information is related to an existing company or not. If yes, the existing Company shall be searched from the lookup function. Details Figure 61 Existing company The Details tab refers to Bank Accounts, both Operational and Player, and other financial information. Multiple Operational and Player Bank Accounts can be listed and each of the accounts will be shown in the grids. Multiple accounts for each type of bank accounts may be entered. Figure 62 Bank Account details Malta Gaming Authority 2018 ` Page 33 of 78

34 Figure 63 Operational/Player Bank Account If the licence being applied for will provide Jackpot winning, the jackpot type shall be entered. Figure 64 Jackpot type Figure 65 Payment Service Provider Malta Gaming Authority 2018 ` Page 34 of 78

35 Enclosures Each document that needs to be attached as part of the Financial Management Information shall be uploaded in this tab. Documents are to be submitted individually in the correct field as specified by the title of the document. In cases where the documents are uploaded incorrectly, the application will be rejected by the Authority. Note: Uploaded documents can only be deleted within 24 hours. The documents needed for the Financial Management Information are: 1. Bank Declaration 2. Agreement with Payment Systems/Gateways 3. Other Agreements Tab 6: Personal Declaration All individuals mentioned in Section need to fill in a Personal Declaration by clicking on Add New Personal Declaration. Terms and Conditions Figure 66 Add New Personal Declaration Provides the terms and conditions related to the Personal Declaration forms. By clicking on Next, the portal user is accepting the Terms and Conditions for the Personal Declaration. Existing Contact If the Personal Declaration is related to an existing contact, the contact name shall be selected from the lookup function. If the contact has submitted a previous Personal Declaration through the LRMS, the new Personal Declaration will be pre-filled with the contact s latest information. Malta Gaming Authority 2018 ` Page 35 of 78

36 Figure 67 Existing contact Personal Details Personal details including residential address are required in this section. Figure 68 Personal details Malta Gaming Authority 2018 ` Page 36 of 78

37 Involvement Type The Involvement type tab requires information on roles, academic qualification, professional body and certificate of approval. Each of these can be added by clicking on the respective Add button. Figure 69 Involvement type Malta Gaming Authority 2018 ` Page 37 of 78

38 Figure 70 Add Key Person Role Figure 71 Add Academic Qualification Malta Gaming Authority 2018 ` Page 38 of 78

39 Figure 72 Add Professional Body Figure 73 Add Certificate of Approval Malta Gaming Authority 2018 ` Page 39 of 78

40 Passport and Residence Details In this section, details related to identification, passport and residence shall be entered. Arrests, Detentions and Litigation Figure 74 Passport and Residence Details Any history related to arrests, detentions and litigation shall be specified here. Malta Gaming Authority 2018 ` Page 40 of 78

41 Figure 75 Arrests, Detentions and Litigation To add details about an offence, click on Add Offence History. Figure 76 Add Offence History If any of the last five questions is answered as Yes, it is mandatory to provide details and any relevant documents shall be attached in the Enclosures tab. Malta Gaming Authority 2018 ` Page 41 of 78

42 Figure 77 Box for Entering Details of Any Disciplinary Action taken Employment The history of the last 5 years of employment shall be provided. To add details, click on Add Employment History. Figure 78 Employment History Figure 79 Add Employment History Malta Gaming Authority 2018 ` Page 42 of 78

43 Directorships and Business Affiliations Details related to business engagements and associations with the gaming industry shall be specified in this section. Details shall be provided for any relation. Figure 80 Directorships and Business Affiliations Malta Gaming Authority 2018 ` Page 43 of 78

44 Bank References Bank references together with details of a contact person are requested in this section. The nominated bank should reflect at least a five-year relationship period. Financial Details Figure 81 Bank Reference Financial details refer to source of funds and source of wealth. A selection of possible sources is listed and should be answered using the Yes/No drop-down menus. If the source is not mentioned in the list, specify the source in the Other field. Note: Other field is only visible if all fields of possible source of funds/wealth are answered No. Malta Gaming Authority 2018 ` Page 44 of 78

45 Figure 82 Financial Details PEP The Politically Exposed Person (PEP) tab has the Terms and Conditions associated with the PEP form and a detailed definition of PEP. Figure 83 PEP Terms and Conditions Figure 84 PEP Definition Malta Gaming Authority 2018 ` Page 45 of 78

46 The user shall select between four options to determine the position with PEP. Depending on the answer of this question, a selection of further questions will be presented. Figure 85 Relation to PEP Should the applicant be a PEP, a detailed set of questions shall be answered to describe the political exposure associated with the applicant. Figure 86 Politically Exposed Person (PEP) Malta Gaming Authority 2018 ` Page 46 of 78

47 If the applicant is a family member of PEP, the relationship with such a PEP shall be specified. Figure 87 Family member of PEP The applicant should also indicate if there are any other connections with the PEP, and give a description if there is a connection. Figure 88 Details of 'Other' Connection with PEP The other option is if the applicant is known as a close associate to PEP as defined in the Prevention of Money Laundering and Funding of Terrorism Regulations. Enclosures Figure 89 Person known to be a close associate of PEP Similar to Section 3.6.8, general notes on the documents that need to be attached (Personal documents, Certification of Documents and Translation Certification) are provided in the first section of the Enclosures Tab. Each document that needs to be attached as part of the personal declaration should be uploaded in this tab. Documents are to be submitted individually in the correct field as specified by the title of the document. In cases where the documents are uploaded incorrectly, the application will be rejected by the Authority. Note: Uploaded documents can only be deleted within 24 hours. Malta Gaming Authority 2018 ` Page 47 of 78

48 The documents needed for the Personal Declaration are: 1. Birth Certificate 2. Passport and/or ID Card 3. Police Conduct and/or Conviction Sheet 4. Gaming Licence from other Jurisdiction 5. Bank Reference 6. Bank Statement 7. Letter of Appointment/Engagement as Key Official 8. Proof of Applicant s Address 9. Clearance for new Appointment 10. Source of Funds 11. Other Agreements Tab 7: Gaming Information The Gaming and Control System Information is to be populated for each Game Type. Similar to previous sections, to add a new gaming information form, click on Add New Gaming Information. When a Gaming Information form is created, it can be viewed in the Gaming Information grid, where the user may edit or delete the appropriate form by clicking on the editing arrow in-line with the form. Terms and Conditions Figure 90 Add New Gaming Information Provides the terms and conditions related to the Gaming Information form. By clicking on Next, the portal user is accepting the Terms and Conditions for the Gaming Information. Existing Company The portal user shall specify whether the Gaming Information form is related to an existing company or not. If yes, the existing Company shall be searched from the lookup function. Malta Gaming Authority 2018 ` Page 48 of 78

49 Figure 91 Existing Company Game Types To add a new game type, click on Add Game Type. When a Game Type is created, it can be viewed in the Game Type grid, where the user may edit or delete the appropriate form by clicking on the editing arrow in-line with the form. Figure 92 Add Game Type There are four different game types as defined in the Gaming Authorisations Regulations. A description of the Vertical Provider Relationship must be entered. Figure 93 Game types & Vertical Provider Relationship Malta Gaming Authority 2018 ` Page 49 of 78

50 Depending on the Game Type selected, the applicant must specify the verticals that will be offered in correspondence with the Game Type. Figure 94 Verticals for Type 1 Gaming Services Figure 95 Verticals for Type 2 Gaming Services Figure 96 Verticals for Type 3 Gaming Services Providers Figure 97 Verticals for Type 4 Gaming Services Each of the created game types will be listed in the Providers grid. To link the game type with the corresponding provider, click on the edit arrow in-line with the appropriate game type, and select Edit Game Type. Malta Gaming Authority 2018 ` Page 50 of 78

51 Figure 98 Add Providers Figure 99 Edit Game Type The provider can be an already approved provider by the Authority (i.e. the provider is licensed by the Authority), or a new provider. If the provider is already approved, the provider shall be selected from the lookup function by selecting Add Approved Provider, otherwise select the Add New Provider option. Note: Multiple approved providers can be selected for each game type. In cases where the provider is new, both the name of the Gaming System software and name of the Control System/Back-Office software shall be provided and the owner of the intellectual property rights of both systems shall also be specified. If the owner is a third party, the registered address, contact person details, and the relationship with the supplier shall be indicated (see Figure 102 and Figure 103). This applies for both Gaming System software and Control System/Back-Office software. Malta Gaming Authority 2018 ` Page 51 of 78

52 Figure 100 Already Approved Provider Figure 101 New Provider Malta Gaming Authority 2018 ` Page 52 of 78

53 Figure 102 New Provider - Gaming System Software Malta Gaming Authority 2018 ` Page 53 of 78

54 Figure 103 New Provider - Control System/Back-Office Software Malta Gaming Authority 2018 ` Page 54 of 78

55 Hardware, Hosting and Co-Location The user shall indicate who shall own and support the Gaming and Control System by selecting the applicable option from the drop-down menus. Figure 104 Hardware, Hosting and Co-Location If the option Leased through a third party is selected, the registered address shall be provided. Primary Hosting Figure 105 Leased through a third party The primary hosting location shall be specified by providing the registered address. In cases where the hosting company is not the licensee, the address of the other company shall be entered. The Data Centre certification and hardware location shall also be specified. Malta Gaming Authority 2018 ` Page 55 of 78

56 Figure 106 Primary hosting location Figure 107 'Other' primary hosting company Malta Gaming Authority 2018 ` Page 56 of 78

57 Figure 108 Data Centre & Hardware location Other Primary Hosting The details required in this section are a replication of Section Optional Replication Hosting Note: If the Primary Hosting country is Malta, the Replication Hosting is not mandatory. However, in cases where the Primary Hosting country is not Malta, a Replication Hosting in Malta shall be specified. First, the user shall specify whether a Replication Hosting will be used. Figure 109 Optional Replication Hosting If yes, the contact details of the replication hosting supplier should be provided. The hardware location shall also be entered as shown in Figure 108 above. Malta Gaming Authority 2018 ` Page 57 of 78

58 Figure 110 Replication Hosting Disaster Recovery Hosting* Note: The Disaster Recovery Hosting tab is only visible when applying for a B2B type licence. Similar to the previous sections, the disaster recovery supplier company name and registered address details shall be provided. In cases where the hosting company is not the licensee, see Figure 107. The Data Centre Certifications and hardware location shall be specified as shown in Figure 108 above. Figure 111 Disaster Recovery Hosting Malta Gaming Authority 2018 ` Page 58 of 78

59 RNG & Jackpot In this section the applicant shall specify whether a RNG and Jackpot are provided. Figure 112 RNG & Jackpot In cases where a RNG is provided, details regarding owner, type and certificate provider shall be specified. Figure 113 RNG If the owner of the RNG is a Third Party, the Owner Name shall be provided. Figure 114 Owner Name If there is a Jackpot, the applicable option for the Jackpot Type and Owner of Jackpot Servers shall be selected. Similar to Figure 114, the Owner Name shall be provided in cases where the owner of the jackpot servers is a Third Party. Figure 115 Jackpot Malta Gaming Authority 2018 ` Page 59 of 78

60 Servers and Critical Components The Servers and Critical Components section requires information related to owners and maintenance of database servers. Enclosures Figure 116 Information to be provided in the Servers and Critical Components section As described in previous Enclosures sections, documents are to be submitted individually in the correct field in accordance with the title of the document. In cases where the documents are uploaded incorrectly, the application will be rejected by the Authority. Malta Gaming Authority 2018 ` Page 60 of 78

61 Note: Uploaded documents can only be deleted within 24 hours. The documents needed for the Gaming Information are: 1. Floor Plan 2. Rack Allocation Plan 3. Access Control Policy 4. Copy of Service Providers /Third Parties Agreements 5. Other Agreements Tab 8: Domains The Domains section lists information related to URLs. To add a new domain, click on Add Domain. Terms and Conditions Figure 117 Add Domain Provides the terms and conditions related to domains. By clicking on Next, the portal user is accepting the Terms and Conditions for the Domains form. Details The Details part includes information on the URL, domain owner, IP address and whether the URL is active or inactive. Figure 118 Domain details Malta Gaming Authority 2018 ` Page 61 of 78

62 Confirm The Confirm step simply saves the domain form. Tab 9: Approval of New Games To add an Approval of New Games, click on Add Approval of New Game Form. Terms and Conditions Figure 119 Add Approval of New Game Provides the terms and conditions related to approval of new games. By clicking on Next, the portal user is accepting the Terms and Conditions. Details A number of details related to each game shall be specified. Figure 120, Figure 122, Figure 125 and Figure 127 give a snapshot of the required information. Malta Gaming Authority 2018 ` Page 62 of 78

63 Figure 120 Details (1) In cases where the game includes jackpots, the jackpot type shall be specified. Figure 121 Jackpot type Figure 122 Details (2) If no Platform/Software supplier exists, details should be given in the provided space. If a Platform/Software supplier exists, the supplier shall be selected from the lookup function. Figure 123 'No' Platform/Software supplier exists Malta Gaming Authority 2018 ` Page 63 of 78

64 Figure 124 'Yes' Platform/Software supplier exists Figure 125 Details (3) If the game has been tested, testing details should be given. Figure 126 Testing Details Figure 127 Details (4) In cases where the game is powered by an RNG, the theoretical RTP shall be specified. Figure 128 RNG game Malta Gaming Authority 2018 ` Page 64 of 78

65 Enclosures Documents are to be submitted individually in the correct field in accordance with the title of the document. In cases where the documents are uploaded incorrectly, the application will be rejected by the Authority. Note: Uploaded documents can only be deleted within 24 hours. The documents needed for the Approval of New Games are: 1. RNG (Random Number Generator) Certificate 2. Other Agreements Confirm The confirm step saves the Approval of New Game form. Tab 10: Policies and Procedures This step informs the portal user of the forms that need to be downloaded, filled in and provided to the Authority. Tab 11: Confirm In the last step, reference is made to the System Documentation Checklist for both Remote Gaming and Controlled Skill Games Licences. Moreover, the declaration pages must be downloaded (Entity Declaration, Personal Declarations and Gaming and Control Systems Information Declaration), signed and submitted to the Authority in hard copy. The Licence Fee in Euro ( ) that shall be paid is shown and the user shall insert the Payment Reference Number. The applicant will need to reconfirm the terms and conditions have been read and understood prior to submitting the application. Submission will be successful following the confirmation. Malta Gaming Authority 2018 ` Page 65 of 78

66 Figure 129 Licence Fee & Declarations Figure 130 Confirmation of Successfully Completed Submission Upon submission of the application, the timeline will show a green coloured circle indicating that the application has been successfully submitted. The user will no longer be able to edit the application unless permission is given by the Authority. However, the application details can be viewed by clicking on View. The revision history will keep a trail of all steps being performed by the Authority. Figure 131 Submitted application as shown on timeline Figure 132 Approved application as shown on timeline 4 Submission of the Player Funds Report In order to submit the first Player Funds Report (PFR), the licensee is required to access the portal s Main Menu to select the First submission Monthly Player Funds Report from the list of applications and services (Refer to Section 2.3, Part 4). Upon the first PFR submission, the next PFR will appear in Draft mode within the portal s timeline (Refer to Section 2.3, Part 5). Note: The LRMS shall not allow reporting months to be skipped. By way of example, if a licensee has submitted the PFR for July 2018, the LRMS will not allow the licensee to submit the September 2018 PFR prior to submitting the August 2018 PFR. Malta Gaming Authority 2018 ` Page 66 of 78

67 Tab 1: Start Figure 133 PFR Start Page The first tab identifies the reporting month and year of the PFR. Tab 2: Companies and Licences Figure 134 Chosen Reporting Month and Year of PFR Upon creating the first PFR for a new company, the user is required to click Add Company. This selection will automatically populate all licences under the respective companies. Note: Multiple companies within the same Group may report within the same PFR subject to the MGA s prior approval. For selecting multiple companies, the user is required to select Add Company until all relevant companies are selected. Tab 3: Player and Jackpot Funds Figure 135 Company & Licence Details Malta Gaming Authority 2018 ` Page 67 of 78

68 Under Player & Jackpot Funds the portal user is required to report the respective liabilities falling under the Maltese jurisdiction as at the end of the reporting month. Figure 136 Player & Jackpot Funds Figure 137 Add Player/Jackpot Funds Player funds means player s money and money s worth held by an operator under an arrangement made between an operator and the player for the provision of a gaming service and includes, but is not limited to, funds that the player has the right to withdraw and funds committed directly by players to games, pending determination of the outcome of such games. Malta Gaming Authority 2018 ` Page 68 of 78

69 In the event that the licensee is unable to identify the portion of player and jackpot funds falling under the Maltese jurisdiction, for example due to games under multiple jurisdictions offered on the same website, the licensee will have to select Yes from the below dropdown menu. Once Yes is selected the licensee is required to disclose the jurisdictions the player and jackpot funds fall under. Figure 138 Player funds falling outside Maltese jurisdiction Tab 4: Clients Accounts Figure 139 Jurisdictions This shall record all month end balances within player funds accounts approved by the MGA which are held with licensed credit institutions. Figure 140 Bank Accounts This shall record all month end balances within player funds accounts approved by the MGA which are held with licensed financial or payment institutions. Malta Gaming Authority 2018 ` Page 69 of 78

70 Figure 141 Financial / Payment Institution Accounts This shall record all month end balances in transit to player funds accounts approved by the MGA. Figure 142 Other Accounts A licensee in possession of an additional licence for gaming services acquired from another jurisdiction, may, if the arrangement is approved by the MGA, hold player funds in the same accounts in which the licensee holds funds pertaining to players from the said jurisdiction. Should this be the case, the licensee is to report the portion of the Clients Account figures used to cover player funds falling outside the Maltese jurisdiction. In order to report this amount, the licensee is required to click on Add Portion that falls outside MT Jurisdiction. Figure 143 Portion of Clients Account used to cover player funds falling outside the Maltese jurisdiction The Surplus/Shortfall amount shall be calculated automatically and shall be calculated by deducting the Clients Account Total from the Player & Jackpot Funds Total. In summary: Clients Account Total = Bank Accounts Total + Financial/Payment Institution Accounts Total + Other Accounts Total Total Portion of Clients Account Pertaining to Foreign Jurisdictions. Figure 144 Surplus/Shortfall Summary In the event of a shortfall, the licensee is required to provide an explanation for the reasons leading to the shortfall. Malta Gaming Authority 2018 ` Page 70 of 78

71 Figure 145 Shortfall explanation Should the licensee wish to add any other comments to the Player Funds Report, this may be done by typing within the Other Comments text box. Tab 5: Attachments Figure 146 Other Comments related to PFR Documents required to be submitted together with the PFR are to be uploaded here. A Document Checklist indicating what needs to be uploaded is also present. The documents required for the PFR s approval are: 1. Clients Accounts Supporting Documentation; 2. Player/Jackpot Liabilities Supporting Documentation. Note: Uploaded documents can only be deleted within 24 hours. Tab 6: Confirm Licensees are required to click Submit in order to send the PFR to the MGA. Following the submission of the PFR, should the licensee wish to download a pdf version of the PFR, the licensee is required to access the LRMS Timeline, select the relevant PFR, navigate to Tab 5 Attachments and select the document saved in the following format PFR Portal Form Submitted YYYYMMDD_XXXXX which is automatically generated by the portal upon submission of the PFR. Figure 147 Submission Page Malta Gaming Authority 2018 ` Page 71 of 78

72 5 Recognition Notice Tab 1: General The General tabs provides the user with the Application Standard Information, and the General Terms of Conditions relating to the various stages of the application. The portal user is also requested to declare which company shall be applying for the Recognition Notice. The portal user is provided the option to choose from a preexisting company or else declare a new one. By clicking on next, the portal user is accepting the Application Standard Information and General Terms and Conditions for the Recognition Notice Application. Tab 2: Entity Details The Entity Details tab is only presented to the portal user and required to be filled if he/she opts to declare a new company in the previous tab. This will open a set of tabs related to the Entity Details. The Entity Details can be declared simply by clicking on Add Entity Details Notes: Figure 148 Add Entity Details 1. A Recognition Notice application without the Entity Details section is considered as incomplete and therefore will not be processed. 2. When Entity Details are created, it is shown in the Entity Details grid. The user may still edit the information entered before submitting the Recognition Notice application form or delete the Entity Details. Should the user wish to delete the Entity Details, a notification for confirmation will be shown. Figure 149 Editing/Deleting Entity Details Malta Gaming Authority 2018 ` Page 72 of 78

73 Figure 150 Delete Confirmation Terms and Conditions Provides the Terms and Conditions related to the Entity Details. By clicking Next, the portal user is accepting the Terms and Conditions for the Entity Details section. General To ask Vinay to remove it if possible. Entity Details This tab includes fields related to entity details regarding registration of the company, names of decision making individuals, person effectively directing and beneficial owners. Malta Gaming Authority 2018 ` Page 73 of 78

74 Figure 151 Company Details Malta Gaming Authority 2018 ` Page 74 of 78

75 Figure 152 Registered and Operating Address Decision making individuals, persons effectively directing and beneficial owners are represented in a table. Multiple names can be created for each of these sub-sections. To add a new person, click on the appropriate add button. All individuals entered in this section need to complete a Personal Declaration. Malta Gaming Authority 2018 ` Page 75 of 78

76 Figure 153 Inputting Details of Key Individuals Tab 3: Details This tab includes fields relating to the Licence Details, and Type of Games offered by the company applying for the recognition notice. Malta Gaming Authority 2018 ` Page 76 of 78