Approval of persons in a position of authority for a gaming machine dealer’s licence

Persons in a Position of Authority

Once a gaming machine dealer’s licence has been granted, the licensee has an ongoing requirement to satisfy the Liquor and Gambling Commissioner as to the fitness and propriety of the licence holder.

Under the Gaming Machines Act 1992, a person who seeks to assume a position of authority in a trust or corporate entity that holds a gaming machine dealer’s licence must make an application to seek the approval of the Commissioner.

A person occupies a position of authority in a corporate entity if the person:

  • is a director of the governing body of the body corporate;
  • is a shareholder in the body corporate (if the company is a proprietary company);
  • manages, or is to manage, the undertaking to be carried out under the licence;
  • is otherwise in a position to exercise control or substantial influence over the body corporate in the conduct of its affairs.

A person occupies a position of authority in a trust if the person:

  • is a trustee or beneficiary of the trust.

Holding Companies

Where a licensee company forms part of a larger group of companies – i.e. is a subsidiary of a holding company or companies – the holding company and/or companies as shareholders in the licensee company are in a position of authority. In such cases, each director and shareholder of the holding company or companies is also required to seek approval.

Senior Management Positions

Any person occupying a senior management position within the licensee company, who is not a director or shareholder, will be required to seek approval if it is considered that the person either manages the undertaking carried out under the licence; or is in a position to exert control or substantial influence.

An application must be lodged for approval of each natural person that meets the criteria above. Under the Gaming Machines Act 1992 it is an offence for an unapproved person to assume a position of authority in a trust or corporate entity that holds a licence.

Mergers and Takeovers

Licensees must notify the Commissioner of all mergers or takeovers which affect the corporate structure of the licensee company. A plan of the corporate structure pre and post the merger/takeover should be provided in order to determine those persons required to seek approval.

Prohibition of Cross Ownerships

The Gaming Machines Act 1992 prohibits a person from being the holder of (or associated with) a gaming machine dealer’s licence and a holder of (or associated with) a licence of any other class under the Gaming Machines Act 1992.

The meaning of ‘associated’ is defined in section 44A(4) of the Act. If further information is required, please contact this Office.

How to Apply – Minimum Documentation

An application must include the following for each person:

Once a ‘Personal Information Declaration’ form has been lodged, each person must arrange to have their fingerprints taken by the Police Licensing & Gaming Advice Section located at 60 Wakefield Street, Adelaide. If a person resides in a remote area, interstate or overseas, alternative arrangements can be made. Telephone the Police on (08) 8463 7503 to make an appointment or to make alternative arrangements. The ‘Fingerprinting Instructions’ form plus one passport sized photo must be provided to the police at the time of fingerprinting.

Relevant police and creditworthiness checks may take up to six weeks to complete. If individuals reside interstate or overseas, this may take longer. It is strongly advised that ‘Personal Information Declaration’ forms be lodged as soon as possible.

Other Documentation Required only if Relevant to the Application

  • Copies of share/unit transfer certificates; or
  • A copy of the Notification of change to office holders (ASIC form 484); or
  • A current ASIC Search Extract or current annual return, that confirms the current office holders
  • Plan of corporate structure