licensee relationship management system · using services on the licensee relationship management...

Licensee Relationship

Management System User Manual

V 1 July 2018

© Malta Gaming Authority | 2018 ` of 78

Contents 1 Introduction .................................................................................................................................... 5

Navigating through the portal ................................................................................................ 5

2 Access to the LRMS portal .............................................................................................................. 6

Register new portal account ................................................................................................... 7

Sign In as existing user ............................................................................................................ 8

Portal home page .................................................................................................................... 9

User account settings ............................................................................................................ 11

Profile ............................................................................................................................. 11

Manage Permissions ...................................................................................................... 11

Access Approvals ........................................................................................................... 12

Request Access .............................................................................................................. 12

Company Details ............................................................................................................ 13

3 New Licence Application ............................................................................................................... 14

Types of Licence Application ................................................................................................. 14

Scenario A ...................................................................................................................... 14

Scenario B ...................................................................................................................... 15

Start New Licence Application .............................................................................................. 16

Selection Panel ...................................................................................................................... 16

Application of Licence for New Licensee ....................................................................... 16

Licence Holder Type ....................................................................................................... 17

Licence Type ................................................................................................................... 17

Licence Channel ............................................................................................................. 18

Tab 1: Terms and Conditions ................................................................................................ 18

Tab 2: General ....................................................................................................................... 18

Tab 3: Entity Declaration ....................................................................................................... 19

Terms and Conditions .................................................................................................... 19

Existing Licensee ............................................................................................................ 20

Entity Details .................................................................................................................. 20

Group Companies* ........................................................................................................ 23

Litigation ........................................................................................................................ 25

Directorships and Business Affiliations .......................................................................... 26

Financial Details ............................................................................................................. 27

Enclosures ...................................................................................................................... 27

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Tab 4: Outsourcing ................................................................................................................ 28

General........................................................................................................................... 28

Outsourcing Service Provider Details ............................................................................ 29

Enclosures ...................................................................................................................... 31

Confirm .......................................................................................................................... 31

Tab 5: Financial Management Information .......................................................................... 31


Existing Company ........................................................................................................... 33

Details ............................................................................................................................ 33

Enclosures ...................................................................................................................... 35

Tab 6: Personal Declaration .................................................................................................. 35


Existing Contact ............................................................................................................. 35

Personal Details ............................................................................................................. 36

Involvement Type .......................................................................................................... 37

Passport and Residence Details ..................................................................................... 40

Arrests, Detentions and Litigation ................................................................................. 40

Employment ................................................................................................................... 42

Directorships and Business Affiliations .......................................................................... 43

Bank References ............................................................................................................ 44

Financial Details ............................................................................................................. 44

PEP ................................................................................................................................. 45

Enclosures ...................................................................................................................... 47

Tab 7: Gaming Information ................................................................................................... 48


Existing Company ........................................................................................................... 48

Game Types ................................................................................................................... 49

Providers ........................................................................................................................ 50

Hardware, Hosting and Co-Location .............................................................................. 55

Primary Hosting ............................................................................................................. 55

Other Primary Hosting ................................................................................................... 57

Optional Replication Hosting ......................................................................................... 57

Disaster Recovery Hosting* ........................................................................................... 58

RNG & Jackpot ............................................................................................................... 59

Servers and Critical Components ................................................................................... 60

Enclosures ...................................................................................................................... 60

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Tab 8: Domains ..................................................................................................................... 61


Details ............................................................................................................................ 61

Confirm .......................................................................................................................... 62

Tab 9: Approval of New Games ............................................................................................ 62


Details ............................................................................................................................ 62

Enclosures ...................................................................................................................... 65

Confirm .......................................................................................................................... 65

Tab 10: Policies and Procedures ........................................................................................... 65

Tab 11: Confirm ..................................................................................................................... 65

4 Submission of the Player Funds Report ........................................................................................ 66

Tab 1: Start ............................................................................................................................ 67

Tab 2: Companies and Licences ............................................................................................ 67

Tab 3: Player and Jackpot Funds ........................................................................................... 67

Tab 4: Clients’ Accounts ........................................................................................................ 69

Tab 5: Attachments ............................................................................................................... 71

Tab 6: Confirm ....................................................................................................................... 71

5 Recognition Notice ........................................................................................................................ 72

Tab 1: General ....................................................................................................................... 72

Tab 2: Entity Details .............................................................................................................. 72


General........................................................................................................................... 73

Entity Details .................................................................................................................. 73

Tab 3: Details ......................................................................................................................... 76

Tab 4: Domains ..................................................................................................................... 77


Details ............................................................................................................................ 77

Confirm .......................................................................................................................... 78

Tab 5: Enclosures .................................................................................................................. 78

Tab 6: Confirm ....................................................................................................................... 78

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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 step-

by-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.

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2 Access to the LRMS portal

To access the LRMS portal, visit the Malta Gaming Authority website www.mga.org.mt 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

http://www.mga.org.mt/

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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 drop-

down menu.

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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 email confirming that the registration has been received by the Authority

will be sent to the user. A confirmation email 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

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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.

Figure 7 Portal home page

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

1 2

3 4

5

a b

c

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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

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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.

Figure 14 Portal user profile

Manage Permissions

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

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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.

Figure 16 Selecting user roles

Access Approvals

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 2.4.2.

Figure 17 Access Approvals

Request Access

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

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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

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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 1st July 2018, certain licensees and/or

potential licensees will opt for a Corporate Licence. Sections 3.1.1 and 3.1.2 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

Figure 21 Scenario A

A

B2

C3 B2C

B1 (Both)

C1 B2C

C2 B2B

O Corporate Cloud O B2B O B2C B1 Reporting Entity

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Suppose that company C2 offers services to companies non-related to the corporate structure. In this

scenario the corporate licence obtained for Reporting Entity, B1, holds entities with B2C – Gaming

Service Licence and B2B – Critical Supply Licence.

Thus the operator B1, should apply for:

i. A corporate licence holder type

ii. Both (B2B & B2C) licence type

iii. Remote licence channel

Scenario B

Figure 22 Scenario B

In this scenario the corporate licence obtained for Reporting Entity, B1, 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 B1, should apply for:

i. A corporate licence holder type

ii. B2C licence type

iii. Remote licence channel

A

B1 (B2C Only)

C2 B2B

O Corporate Cloud O B2B B1 Reporting Entity

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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.

Figure 23 Gaming Services: New Licence Application

Selection Panel

Application of Licence for New Licensee

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

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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.

Figure 26 Application for new company

Licence Holder Type

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 group1)

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.

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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

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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:

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.

Figure 34 Multiple Entity Declarations

Terms and Conditions

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.

Figure 31 Add Entity Declaration

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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.

Figure 36 Pre-filled Entity Declarations for Existing Approved Entities

Entity Details

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

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Note: A ‘start-up undertaking2’ 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 self-

employed 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

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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

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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.

Figure 43 Edit individual's details

Group Companies*

Note: This tab is only visible for Corporate Licence Holders.

Figure 41 Group Companies Tab within Entity Declaration Figure 42 Details for Individuals Added

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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.

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

Figure 44 Add Group Companies

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Litigation

A set of questions related to any past or pending legal process must then be answered using the drop-

down 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)

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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

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Financial Details

The Entity’s Source of Funds and Source of Wealth need to be specified in this section.

Figure 50 Financial details

Enclosures

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

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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.

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Figure 53 Registered Name and Licence

Figure 54 Type of Outsourcing

Outsourcing Service Provider Details

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.

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Figure 55 Outsourcing Service Provider Details

Figure 56 Type of Licence/Certification/Permit/Approval

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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.


The documents needed for an Outsourcing of Critical Supplies, Material Supplies & Key Functions are:

1. Proposed Agreement

2. Outsourcing Service Provider Proof

Figure 58 Enclosures

Confirm

The Confirm step simply saves the Outsourcing of Critical Supplies, Material Supplies and Key

Functions.

Tab 5: Financial Management Information

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To add new ‘Financial Management Information’ click on ‘Add Financial Management Information’.

After a Financial Management Information is created, details can be edited by clicking on the edit

arrow.

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.

Figure 59 Add Financial Management Information

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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.

Figure 61 Existing company

Details

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

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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

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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.


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 3.6.3 need to fill in a Personal Declaration by clicking on ‘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.

Figure 66 Add New Personal Declaration

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Figure 67 Existing contact

Personal Details

Personal details including residential address are required in this section.

Figure 68 Personal details

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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

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Figure 70 Add Key Person Role

Figure 71 Add Academic Qualification

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Figure 72 Add Professional Body

Figure 73 Add Certificate of Approval

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Passport and Residence Details

In this section, details related to identification, passport and residence shall be entered.

Figure 74 Passport and Residence Details

Arrests, Detentions and Litigation

Any history related to arrests, detentions and litigation shall be specified here.

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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.

Figure 75 Arrests, Detentions and Litigation

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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

Figure 77 Box for Entering Details of Any Disciplinary Action taken

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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

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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.

Figure 81 Bank Reference

Financial Details

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’.

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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

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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)

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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.

Figure 89 Person known to be a close associate of PEP

Enclosures

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.


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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.

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.

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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

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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




Providers

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’.

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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.

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Figure 100 Already Approved Provider

Figure 101 New Provider

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Figure 102 New Provider - Gaming System Software

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Figure 103 New Provider - Control System/Back-Office Software

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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.

Figure 105 Leased through a third party

Primary Hosting

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.

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Figure 106 Primary hosting location

Figure 107 'Other' primary hosting company

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Figure 108 Data Centre & Hardware location

Other Primary Hosting

The details required in this section are a replication of Section 3.10.6.

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.

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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

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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

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Servers and Critical Components

The Servers and Critical Components section requires information related to owners and maintenance

of database servers.

Figure 116 Information to be provided in the Servers and Critical Components section

Enclosures

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.

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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’.

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

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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’.

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.

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Figure 120 Details (1)

In cases where the game includes jackpots, the jackpot type shall be specified.

Figure 121 Jackpot type


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

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Figure 124 'Yes' Platform/Software supplier exists


If the game has been tested, testing details should be given.

Figure 126 Testing Details


In cases where the game is powered by an RNG, the theoretical RTP shall be specified.

Figure 128 RNG game

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Enclosures

Documents are to be submitted individually in the correct field in accordance with the title of the


the Authority.


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.

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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.

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Tab 1: Start

Figure 133 PFR Start Page

The first tab identifies the reporting month and year of the PFR.

Figure 134 Chosen Reporting Month and Year of PFR

Tab 2: Companies and Licences

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.

Figure 135 Company & Licence Details

Tab 3: Player and Jackpot Funds

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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.

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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

Figure 139 Jurisdictions

Tab 4: Clients’ Accounts

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.

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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.

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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.

Figure 146 Other Comments related to PFR

Tab 5: Attachments

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.


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

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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’

Figure 148 Add Entity Details

Notes:

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

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Figure 150 Delete Confirmation


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.

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Figure 151 Company Details

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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.

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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.

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Figure 154 Licence Details and Type of Games

Tab 4: Domains

The domains section lists information related to URLs. To add a new domain, click on ‘Add Domains’

Figure 155 Add Domains


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

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The Details part includes information on the URL, domain owner, IP address and whether the URL is

active or inactive.

Figure 156 Domain Details

Confirm

The Confirm step simply saves the domain form

Tab 5: Enclosures

Documents are to be submitted individually in the correct field in accordance with the title of the


the Authority.


The documents needed for the Recognition Notice are:

1. Copy of Licence

2. English Translation of Licence

3. Legal Letter

4. Operational Declaration

5. Other Documents

Tab 6: Confirm

In the last step, the Licence Fee in Euro (€) that shall be paid is shown and the user shall insert the

Payment Reference Number. Submission will be successful following the confirmation.