Compliance Audit Checklist Generator

Regulatory compliance in the gambling industry requires systematic review of numerous operational, technical, and procedural requirements. This tool generates comprehensive checklists tailored to specific jurisdictional requirements, helping compliance teams prepare for regulatory audits and maintain ongoing compliance standards.

Understanding Gambling Compliance Requirements

Gambling compliance encompasses a broad range of regulatory obligations designed to protect consumers, prevent financial crime, and ensure fair gaming operations. The complexity of these requirements varies significantly across jurisdictions, with some regulators publishing detailed technical standards while others rely on principle-based approaches.

As noted in our analysis of 2026 enforcement actions, the most common compliance failures relate to anti-money laundering controls, customer interaction protocols, and advertising standards. Operators should prioritize these areas when preparing for regulatory audits.

Anti-Money Laundering and KYC Requirements

AML compliance represents the most heavily enforced area of gambling regulation, accounting for over 40% of regulatory penalties in major jurisdictions. The Financial Action Task Force (FATF) sets international standards for AML/CFT measures, which are then implemented through national gambling regulations.

Key AML requirements include customer due diligence procedures, transaction monitoring systems, suspicious activity reporting, and staff training. For detailed guidance on these requirements, see our comprehensive analysis of AML compliance in gambling.

Responsible Gambling Obligations

Responsible gambling requirements have expanded significantly in recent years, with regulators demanding increasingly sophisticated player protection measures. The UK Gambling Commission's Licence Conditions and Codes of Practice (LCCP) represents one of the most comprehensive frameworks, requiring operators to implement customer interaction protocols, self-exclusion systems, and reality checks.

Our analysis of global responsible gambling standards provides additional context on how these requirements vary across jurisdictions.

Advertising and Marketing Standards

Gambling advertising faces increasing restrictions worldwide, with many jurisdictions implementing bans on certain types of promotional content or timing restrictions on when gambling advertisements can be broadcast. The UK Advertising Standards Authority (ASA) publishes detailed guidance on gambling advertising requirements.

For comprehensive coverage of advertising requirements across jurisdictions, see our article on gambling advertising regulations.

Technical Standards and Testing

Gambling software must meet specific technical standards to ensure fair gaming outcomes, accurate display of information, and secure player fund handling. Most jurisdictions require independent testing laboratory certification for gaming software, with organizations like eCOGRA, iTech Labs, and GLI providing testing and certification services.

Technical compliance also encompasses cybersecurity requirements, with increasing focus on data protection, penetration testing, and incident response procedures.

Using This Tool Effectively

This checklist generator is designed to support internal compliance reviews and audit preparation. To use it effectively:

• Regular Reviews: Generate and complete checklists on a quarterly basis to identify compliance gaps before regulatory inspections.
• Documentation: Use the export function to maintain records of compliance assessments for regulatory review.
• Prioritization: Focus first on critical items, which represent requirements most frequently cited in enforcement actions.
• Cross-Functional Input: Involve relevant teams (operations, technology, legal, marketing) in completing comprehensive assessments.