Creating an Effective Compliance Program - August 2019


Aug. 27, 2019 - Aug. 28, 2019, 8:30am to 4:30pm

Office/Remote Location

First Floor, Casino Lab
a globe with multiple flags


All successful gaming operators understand the importance of building and maintaining cultures of compliance within the jurisdictions they operate. This 2-day program provides a curated review of 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


Who can attend this event?

This program is open to gaming regulators, policy makers, 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.

What is included in the registration fee?

The fee includes all classroom materials, parking at UNLV, and a certificate of completion from the University of Nevada, Las Vegas. A light continental breakfast and lunch each day will also be provided. All other expenses, including airfare, ground transportation, evening meals, and incidentals are the responsibility of the participant.

Are there recommended accommodations?

In addition to the large number of hotels located on the Las Vegas Strip, a number of participants choose to stay at nearby off-strip hotels.

Is transportation or parking available?

We encourage participants to arrive either by taxi, Uber or Lyft. However, parking passes for a limited number of spaces in front of the Stan Fulton Building, home of the International Gaming Institute, will be available.

What is the attire for the program?

The attire is business casual.

What is the refund policy?

1. In the event a course is canceled, registrants will be notified as soon as possible and receive a full refund of their registration fee. The International Center for Gaming Regulation is not responsible for any travel and related expenses or other expenses incurred by any participant due to a course cancellation.

2. A service fee of Twenty Percent (20%) will apply to all participant initiated cancellations received three (3) weeks prior to the event.

3. A service fee of Fifty Percent (50%) will apply to all participant initiated cancellations received two (2) weeks (14 days or less) prior to the event. In the event you need to cancel, you may substitute another person to attend in your place. However, you will need to inform us in writing no later than two (2) business days prior to the start of the event.

4. All cancellations and refund requests must be made in writing. Refunds granted for credit card charges will be credited to the original account charged. No refunds will be given in the event of “No Shows.” Refunds may take up to 4 weeks for processing.

Where can I contact the organizer with any questions?

For additional questions, please contact Craig Ferreira, Operations and Marketing Manager, International Center for Gaming Regulation: or (702) 895-2445.

Contact Information

International Center for Gaming Regulation
Craig Ferreira

External Sponsor

With the expansion of gaming across the globe, the need for a strong, knowledgeable voice in the area of gaming regulation has become critical. The International Center for Gaming Regulation is positioned to be that centralized voice. ICGR promotes international best practices in gaming regulation through:

  • Conducting cutting-edge research and regulatory evaluation
  • Disseminating data and information
  • Providing world-class educational programs for the world’s regulators

The ICGR is a partnership between UNLV’s International Gaming Institute (IGI) and the William S. Boyd School of Law, building on the unique expertise of these two premier academic institutions.