N.Y. Comp. Codes R. & Regs. tit. 9 § 5105.4

Current through Register Vol. 46, No. 45, November 2, 2024

Section 5105.4 - Standard for issuance of video lottery gaming key employee and video lottery gaming employee licenses

(a) Each applicant for a video lottery gaming key employee and video lottery gaming employee license must produce such information, documentation and assurances as requested by the commission concerning the following qualification criteria:

(1) Such information, documentation, releases and assurances as may be required to establish by clear and convincing evidence the financial stability, integrity and responsibility of the applicant, including but not limited to, bank references, business and personal income and disbursements schedules, tax returns and other reports filed with governmental agencies, and business and personal accounting and check records and ledgers. In addition, each applicant shall, in writing, authorize the examination of all bank accounts and records as may be deemed necessary.

(2) Such information, documentation, releases and assurances as may be required to establish by clear and convincing evidence the applicant's good character, honesty and integrity. Such information shall include, without limitation, data pertaining to family, habits, character, reputation, criminal and arrest record, business activities, financial affairs, and business, professional and personal associates, covering at least the 10-year period immediately preceding the filing of the application. Each applicant shall notify the commission of any civil judgments obtained against such applicant pertaining to antitrust or security regulation laws of the Federal government, of this State or of any other state, jurisdiction, province or country.

(3) Upon request of the commission, the potential employee shall produce letters of reference from law enforcement agencies having jurisdiction in the applicant's place of residence and principal place of business, which letters of reference shall indicate that such law enforcement agencies do not have any pertinent information concerning the applicant, or if such law enforcement agency does have information pertaining to the applicant, shall specify what that information is.

(4) If the applicant has been associated with gaming operations in any capacity in any jurisdiction that permits such activity, the applicant, when requested by the commission, shall produce letters of reference from the gaming enforcement or control agency for such jurisdiction. Such letters of reference shall specify, without limitation, the experience of such gaming enforcement or control agency with the applicant, the applicant's associates, the applicant's participation in the gaming operations of such jurisdiction, and, to the extent permitted by applicable law, any enforcement action by such gaming enforcement or control agency against the applicant. The applicant shall separately authorize the commission or the commission's authorized representative to communicate with and examine appropriate files of any such gaming enforcement or control agency in any such jurisdiction.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 5105.4