| Entity Level |
- Lack of appreciation and understanding of critical elements of a risk based control environment
- Lack of defined Board mandate and independent oversight of management
- No mechanism for reporting wrong doing
- Inadequately documented management policies and procedures to define and align accountability skills and competence
- Lack of understanding about expected ethical behavior
- Lack of transparency in decision making
- Individual knowingly fails to comply
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| Responsible Gambling |
- Inappropriate advertising practices targets minors
- Advertising is false and misleadingly deceptive to attract the public
- Advertising deemed to promote excessive play
- Players allowed to play excessively
- Responsible gaming controls not designed into environment and product
- Players are unaware of risks to problem gambling and options to selfcontrol
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| Prohibiting Access to Designated Groups |
- Individuals prohibited from games of chance have access
- Selling product outside jurisdiction
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| Ensuring Game Integrity and Player Awareness |
- Inability to regulate all components
- Related parties winning at a higher relative percentage than the public
- Players have insufficient information to make an informed choice
- Game and system design lack integrity
- Game procedures are not followed
- Game and systems fail
- Betting markets are compromised by activities such as insider betting or game manipulation
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| Public Safety and Protection of Assets |
- People are not safe
- Assets and customer information are not safe-guarded
- Unauthorized individuals have access to prohibited areas
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| Minimizing Unlawful Activity Related to Gaming |
- Gaming used as a vehicle for money laundering
- Gaming used as a vehicle for fraud or theft
- Internal theft is occurring
- Cheat at play materializes within the gaming environment
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