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📋 Compliance Templates

Last Updated: 2026-04-15 | Version: 2.0 Status: ✅ Final | Maintainer: Documentation Team

Category Status Regulation

📖 Overview

This directory contains templates and data extraction scripts for gaming regulatory compliance reports. These templates are designed to meet the requirements of various gaming commissions and federal regulations.

📑 Template Index

Template Regulation Authority Filing Deadline
CTR Template Title 31 / BSA FinCEN 15 days
W-2G Template IRS Gaming IRS Jan 31 / Mar 31
SAR Template BSA FinCEN 30 days
NIGC MICS NIGC Regulations NIGC Varies

🏛️ Regulatory Framework

Federal Requirements

Regulation Description Threshold
CTR Currency Transaction Report Cash > $10,000
SAR Suspicious Activity Report Suspicious patterns
W-2G Gambling Winnings Slots >= $1,200
1042-S Foreign Person Winnings NRA winnings

State Requirements

Gaming regulations vary by jurisdiction. Common requirements include:

  • Daily revenue reports
  • Jackpot logs
  • Patron dispute records
  • Self-exclusion compliance
  • Responsible gaming reports

🗄️ Data Sources

All compliance reports draw from these platform tables:

Table Purpose
bronze_financial_transactions Cash transactions
silver_slot_telemetry Jackpots, large wins
dim_player Player identification
gold.compliance_ctr_filings CTR staging
gold.compliance_w2g_filings W-2G staging

⚙️ Automation

Daily Compliance Checks

# Run daily to identify compliance events
def daily_compliance_check():
    # CTR threshold monitoring
    check_ctr_thresholds()

    # W-2G jackpot identification
    identify_reportable_jackpots()

    # SAR pattern detection
    run_sar_detection_rules()

    # Self-exclusion compliance
    verify_self_exclusion_compliance()

Filing Workflow

flowchart LR
    A[Transaction] --> B{Threshold?}
    B -->|Yes| C[Extract Data]
    B -->|No| D[Log Only]
    C --> E[Compliance Review]
    E --> F{Approved?}
    F -->|Yes| G[Generate Filing]
    F -->|No| H[Additional Review]
    G --> I[Submit to Authority]
    I --> J[Archive]

✅ Best Practices

  1. Automate Threshold Monitoring - Use real-time queries to flag reportable events
  2. Maintain Audit Trail - Log all compliance decisions and filings
  3. Secure PII - Encrypt sensitive player data
  4. Regular Testing - Validate extraction queries quarterly
  5. Document Exceptions - Record any manual overrides or adjustments

📞 Contact

Compliance Questions: compliance@casino.com Technical Support: data-engineering@casino.com

Document Description
CTR Template Currency Transaction Report data extraction template
SAR Template Suspicious Activity Report detection and filing
W-2G Template Gambling winnings tax reporting template
MICS Template NIGC Minimum Internal Control Standards
Data Governance Governance and compliance frameworks

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