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.
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
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
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: email@example.com or (702) 895-2445.