Compliance Toolkit
Compliance Audit Checklist
201-item comprehensive audit framework with interactive Excel companion for systematic casino compliance assessment.
The Strategic Impact on Your Department
201 audit items across the full compliance spectrum — nothing slips through.
Find the gap before DICJ does
201 audit items let you run a full pre-inspection readiness review and remediate weaknesses on your own timeline.
Audit systematically, not by memory
The interactive Excel companion tracks status, documents findings and scores risk — so your review is complete and repeatable.
Report up with confidence
Auto-generated compliance scores and risk heat maps give your board and management a clear, defensible picture.
Cover every obligation
AML, responsible gaming, junkets, surveillance, internal controls and data protection — the whole regulatory surface in one framework.
One-time purchase
- Format
- PDF + Excel
- Delivery
- Instant download
12 months of update notifications.
Overview
The Compliance Audit Checklist is a comprehensive, systematically structured audit framework designed for casino compliance officers, internal auditors, and external audit firms conducting regulatory compliance reviews of gaming operations. With 201 individual audit items across 6 compliance domains, this checklist ensures no regulatory obligation is overlooked during compliance assessment.
Each audit item includes: the specific regulatory reference, audit objective, suggested audit procedure, evidence requirements, common findings indicators, and risk weighting. The interactive Excel companion enables systematic audit execution with status tracking, finding documentation, risk scoring, and automatic report generation.
The checklist covers the full spectrum of Macau gaming compliance: AML/CFT, responsible gaming, junket operations, surveillance, internal controls, data protection, and concessionaire obligations. It is equally applicable for internal compliance audits, pre-inspection readiness reviews, and external regulatory examinations.
What's Inside
13 sections of structured content.
Domain 1
AML/CFT Programme (25 items)
Audit of AML policy, risk assessment, CDD procedures, transaction monitoring, suspicious activity reporting, record keeping, and staff training programmes.
Domain 2
Junket Operations (22 items)
Audit of junket agreements, due diligence, commission structures, credit management, player source of funds verification, and Law 16/2022 compliance.
Domain 3
Responsible Gaming (18 items)
Audit of self-exclusion programme, problem gambling identification, intervention procedures, staff training, and regulatory reporting compliance.
Domain 4
Surveillance & Security (20 items)
Audit of surveillance system coverage, recording retention, incident detection, evidence management, and security procedures.
Domain 5
Internal Controls (20 items)
Audit of financial controls, chip inventory management, cage procedures, count room controls, and reconciliation processes.
Domain 6
Data Protection (15 items)
Audit of player data handling, consent management, data security, retention compliance, and breach notification procedures.
Domain 7
Gaming Operations (18 items)
Audit of table game procedures, EGM operations, jackpot management, payout controls, and game integrity protections.
Domain 8
Regulatory Reporting (15 items)
Audit of DICJ reporting compliance, submission timeliness, data accuracy, and regulatory notification procedures.
Domain 9
Credit & Collections (12 items)
Audit of credit approval procedures, marker management, collection practices, and write-off authorisation.
Domain 10
Employment & Licensing (12 items)
Audit of employee licensing compliance, background verification, and restricted persons screening.
Domain 11
Marketing & Promotions (12 items)
Audit of marketing compliance, promotional offer terms, player communication consent, and advertising standards.
Domain 12
Concessionaire Obligations (12 items)
Audit of concession-specific obligations, capital commitments, development obligations, and regulatory covenant compliance.
Tool
Interactive Excel Companion
Systematic audit execution workbook with status tracking, finding documentation, risk scoring, evidence linkage, and automatic report generation.
Regulatory alignment
Macau
Law 16/2001
Foundation gaming law establishing compliance obligations
Macau
Law 16/2022
Amended gaming law with enhanced compliance requirements
DICJ
Inspection Standards
DICJ compliance audit expectations and examination procedures
Macau
Law 2/2006
AML/CFT compliance audit requirements
Macau
Personal Data Protection Act
Data protection compliance verification requirements
Why teams choose this
- ✅
201 Audit Items
Comprehensive coverage across 6 compliance domains.
- 📊
Excel Companion
Interactive audit execution tool with automatic report generation.
- ⚖️
Regulatory Aligned
Every item references specific Macau regulatory requirements.
- 🔍
Pre-Inspection Ready
Systematic readiness review before DICJ inspection visits.
- 📝
Finding Documentation
Structured evidence collection and finding write-up format.
- 📈
Risk Scoring
Automatic risk weighting and compliance score calculation.
Built for
Primary audience
- Compliance Officers
- Internal Auditors
- External Audit Firms
Secondary audience
- Casino Managers
- Risk Managers
- Legal Counsel
- Board Audit Committees
Frequently asked
- How long does a full audit take?
- A comprehensive audit using all 201 items typically requires 2-3 weeks depending on property size and compliance team resources. The checklist includes guidance for scoping audits to focus on high-risk domains for shorter review cycles.
- Can we use this for pre-inspection readiness?
- Yes. The checklist is specifically designed for pre-inspection readiness reviews. Complete a self-assessment before DICJ inspection to identify and remediate gaps proactively.
- Does the Excel tool generate management reports?
- Yes. The Excel companion generates executive summary reports with compliance scores, finding registers, and risk heat maps suitable for board and management reporting.
- Can audit items be customised?
- Yes. The Excel companion allows addition, removal, or modification of audit items to match your specific operational structure and regulatory requirements.
Often paired with
Build out the full compliance stack.
Questions about this product? Email editor@surveillanceasia.com.
One-time purchase
- Format
- PDF + Excel
- Delivery
- Instant download
12 months of update notifications.