Creating An Effective Compliance Program


Apr. 25, 2018 - Apr. 26, 2018 (All day)

Office/Remote Location

Room 333 Executive Board Room
International Center for Gaming Regulation logo


All successful gaming operators understand the importance of building and maintaining cultures of compliance within the jurisdictions they operate. This 2-day intensive program provides a curated study of the most effective compliance protocols and processes, including techniques for planning, monitoring, and reporting.

Day 1

Introduction to Gaming Regulation System

  • Purpose of Gaming Regulation and Compliance
  • Understanding the Policy Reasons for Regulation of Gaming
  • Comparative Review of Systems
  • Analysis of Pre-Licensing Restrictions

Purpose of Compliance Plan & Program

  • Self Regulatory Oversight & Risk Management
  • Guarding Against Corruptive Elements
  • Preventing Disciplinary Action

Preparing an Effective Compliance Plan

  • Contents of Compliance Plan
  • Regulator Expectations

Conducting Due Diligence & Creating an Internal Reporting System

  • Techniques for Conducting Due Diligence
  • Resources for Accessing Information
  • Best Practices for Creating an Internal Reporting System

Establishing an Effective Compliance Program

  • Report Gathering and Documentation
  • Training and Communicating to Team
  • Compliance Hotlines
  • Reporting to Compliance Committees

Day 2

Surviving the Compliance Audit

  • Tips on Maintaining Records
  • What Regulators are Looking For
  • Preparing Compliance Officer and Committee
  • Preparing Staff

Correcting the Compliance System

  • Common Mistakes in Compliance
  • Not so Common Mistakes in Compliance (Disciplinary Actions 

Anti-Money Laundering Requirements

  • Review of Triggers for Reporting
  • Understanding Transaction Reports and Triggers
  • Role of FinCEN and IRS
  • AML Compliance Plans

Foreign Corrupt Practices Act/OFAC/PEPs

  • Overview of Foreign Corrupt Practices Act & Restrictions
  • Office of Foreign Assets Control
  • Politically Exposed Persons

Case Studies + Discussion/Analysis

Admission Information

This program is open to gaming operators, manufacturers, suppliers, or integrated resort professionals who would benefit from a better understanding of the principles of a sound compliance system. All functional areas - including compliance, HR, finance, gaming operations, etc. - are welcome to attend. The program is also open to anyone with an interest in gaming compliance, gaming regulation, or gaming operations.

The cost of $755 includes all course materials, instruction, parking at the International Gaming Institute and a UNLV certificate upon completion of the program.

Light continental breakfasts and lunches will also be provided.

Contact Information

International Center for Gaming Regulation
Jennifer Roberts

External Sponsor

The International Center for Gaming Regulation is one of three research centers within the International Gaming Institute, on the campus of the University of Nevada, Las Vegas. The Center's mission is to promote research and learning in the areas of gaming regulation in jurisdictions around the world.