Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) If
the Commission finds that a TPPPS owner type licensee, is out of compliance
with any mandatory duty specified in or imposed by the Act or any Commission or
Bureau regulation, which is not otherwise listed in these disciplinary
guidelines, the penalty will be one day of suspension of proposition player
services from either a specified cardroom business licensee or all cardroom
business licensees, as the circumstances and factors in mitigation or
aggravation apply and which may be stayed on terms and conditions and any
monetary penalty as described in paragraph (7) of subsection (d) of Section
12554.
(b) A TPPPS owner type licensee will be
subject to a minimum discipline of suspension of five calenda-rdays from either
a specified cardroom business licensee or all cardroom business licensees, as
the circumstances and factors in mitigation or aggravation apply, and a maximum
discipline of revocation, which may be stayed on terms and conditions and any
monetary penalty as described in paragraph (7) of subsection (d) of Section
12554, if the Commission finds
that:
(1) The TPPPS owner type licensee has
violated or is out of compliance with any conditions, limitations, orders, or
directives imposed by the Commission, either as part of an initial license,
renewal license, or pursuant to disciplinary action;
(2) The TPPPS owner type licensee has been
found, by any administrative tribunal or court, to have violated or be in
violation of any law involving or relating to gambling;
(3) The TPPPS owner type licensee has
intentionally misrepresented a material fact on an application or supplemental
application for licensure;
(4) The
TPPPS owner type licensee has engaged in any dishonest, fraudulent, or
deceptive activities in connection with controlled gambling or the provision of
proposition player services;
(5)
The TPPPS owner type licensee has violated any law or ordinance with respect to
campaign finance disclosure or contribution limitations, pursuant to Business
and Professions Code section
19982;
(6) The TPPPS owner type licensee has
violated California Code of Regulations, Title 4, regarding annual fees for
third-party proposition player services;
(7) The TPPPS owner type licensee has
provided proposition player services in violation of California Code of
Regulations, Title 4, Section
12270, subsection (b)(9) or
(b)(11);
(8) The TPPPS owner type
licensee has failed to fully disclose financial arrangements in violation of
California Code of Regulations, Title 4, Section
12270, subsection
(b)(14);
(9) The TPPPS business
licensee has failed to report cheating, in violation of California Code of
Regulations, Title 4, Section
12270, subsection
(b)(17);
(10) The TPPPS owner type
licensee has purchased, leased, or controlled equipment in violation of
California Code of Regulations, Title 4, Section
12270, subsection
(b)(20);
(11) The TPPPS owner type
licensee has failed to have the TPPPS contract approved, in violation of
California Code of Regulations, Title 4, Section
12270, subsection (b)(21), or
Section 12272;
(12) The TPPPS owner type licensee has
authorized or provided payment to or receipt by the cardroom business licensee,
in violation of California Code of Regulations, Title 4, Section
12270, subsection (c);
(13) The TPPPS owner type licensee has been
cheating, or has induced or instructed another to cheat, pursuant to Penal Code
sections
337t,
337u,
337v,
337w, or
337y;
(14) The TPPPS owner type licensee has
committed extortion (as that term is defined in Chapter 7 of Title 13 of Part 1
of the Penal Code, commencing with section
518);
(15) The TPPPS owner type licensee has
committed loan-sharking [as that term is used in Civil Code section
1916-
3, subdivision
(b)];
(16) The TPPPS owner type
licensee has conducted or negotiated illegal sales of controlled substances (as
that term is used in Chapter 1 (commencing with section
11000) of Division 10 of the Health
and Safety Code) or dangerous drugs (as that term is used in Business and
Professions Code, section
4022);
(17) The TPPPS owner type licensee has
committed bribery (as that term is used in Penal Code section
67 or
67.5);
(18) The TPPPS owner type licensee has
committed money laundering (as that term is used in Chapter 10 of Title 7 of
Part 1 of the Penal Code, commencing with section 186.9);
(19) The TPPPS owner type licensee has
granted rebates to patrons without full disclosure, in violation of California
Code of Regulations, Title 4, Section
12270, subsection
(b)(18);
(20) The TPPPS owner type
licensee has violated the provisions regarding playing books listed in
California Code of Regulations, Title 4, Section
12250;
(21) The TPPPS owner type licensee committed,
attempted to commit, or conspired to commit any act prohibited by the Act or
this chapter;
(22) The TPPPS owner
type licensee concealed or refused to disclose any material fact in any inquiry
by the Bureau or the Commission;
(23) The TPPPS owner type licensee bought or
sold chips other than to or from the cardroom business licensee, except for
exchanging with a patron, chips of one denomination for chips of another
denomination;
(24) The TPPPS owner
type licensee lent money or chips to a patron;
(25) The TPPPS owner type licensee knowingly
permitted one or more of the TPPPS owner type licensee's TPPPS employee type
licensees to commit any act described in paragraph (9) of subsection (c) or
paragraphs (9) to (17), inclusive, of subsection (d);
(26) The TPPPS owner type licensee knew, or
failed to implement reasonable oversight procedures that would have apprised
the TPPPS owner type licensee, that one or more of the TPPPS owner type
licensee's TPPPS employee type licensees was in violation of one or more
provision the Act or regulation and failed or refused to take action to prevent
the recurrence of the violation or violations;
(27) The TPPPS owner type licensee provided
proposition player services to a gambling enterprise without a Bureau-approved
contract on and after April 30, 2004; or,
(28) The TPPPS owner type licensee provided
prohibited player-dealer services.
(c) A TPPPS employee type licensee will be
subject to a minimum monetary penalty of $100 and/or a suspension of three
calendar-days and a maximum penalty of revocation if the Commission finds that:
(1) The TPPPS employee type licensee has
violated or is out of compliance with conditions, limitations, orders, or
directives imposed by the Commission, either as part of an initial license,
renewal licensee, or pursuant to disciplinary action;
(2) The TPPPS employee type licensee has
engaged in any dishonest, fraudulent, or deceptive activities in connection
with controlled gambling or the provision of proposition player
services;
(3) The TPPPS employee
type licensee has committed any act punishable as a crime, not otherwise listed
in these disciplinary guidelines, which substantially relates to the duties and
qualifications of the licensee, or which occurred in a gambling establishment
or the associated adjacent property;
(4) The TPPPS employee type licensee has
engaged in any conduct on the premises of the gambling establishment or in
connection with controlled gambling or the provision of proposition player
services which is inimical to the health, welfare, or safety of the general
public;
(5) The TPPPS employee type
licensee has either failed to wear a badge, worn a badge which was covered,
worn a false or altered badge, worn another person's badge, or worn an expired
badge;
(6) The TPPPS employee type
licensee has engaged in fighting or has intentionally provoked a patron or
employee of a cardroom business licensee;
(7) The TPPPS employee type licensee has
maliciously or willfully destroyed or damaged the property of a cardroom
business licensee, cardroom employee type licensee, or patron;
(8) The TPPPS employee type licensee has
accepted tips, gratuities, complimentaries, or gifts from a cardroom category
licensee or cardroom businesses licensee's patrons;
(9) The TPPPS employee committed, attempted
to commit, or conspired to commit any act prohibited by the Act or this
chapter; or,
(10) The TPPPS
employee type licensee has failed to comply with California Code of
Regulations, Title 4, Section
12290.
(d) A TPPPS employee type licensee will be
subject to a minimum monetary penalty of $300 and/or a suspension of five
calendar-days and a maximum penalty of revocation if the Commission finds that:
(1) The TPPPS employee type licensee has
intentionally misrepresented a material fact on an application, or supplemental
application for licensure or approval;
(2) The TPPPS employee type licensee has been
cheating, pursuant to Penal Code, section
337x;
(3) The TPPPS employee type licensee has
committed extortion (as that term is defined in Chapter 7 of Title 13 of Part 1
of the Penal Code, commencing with section
518);
(4) The TPPPS employee type licensee has
committed loan-sharking (as that term is used in Civil Code section
1916-
3, subdivision
(b));
(5) The TPPPS employee type
licensee has conducted or negotiated illegal sales of controlled substances (as
that term is used in Chapter 1 (commencing with section
11000) of Division 10 of the Health
and Safety Code) or dangerous drugs (as that term is used in Business and
Professions Code, section
4022);
(6) The TPPPS employee type licensee has
committed bribery (as that term is used in Penal Code section
67 or
67.5);
(7) The TPPPS employee type licensee has
committed money laundering (as that term is used in Chapter 10 of Title 7 of
Part 1 of the Penal Code, commencing with section 186.9);
(8) The TPPPS employee type licensee has
granted rebates to patrons without full disclosure, in violation of California
Code of Regulations, Title 4, Section
12270, subsection
(b)(18);
(9) The TPPPS employee
type licensee intentionally misrepresented a material fact on an application or
supplemental application for licensure
(10) The TPPPS employee type licensee engaged
in any dishonest, fraudulent, or unfairly deceptive activity in connection with
controlled gambling, including any violation of laws related to
cheating;
(11) The TPPPS employee
type licensee concealed or refused to disclose any material fact in any inquiry
by the Bureau or the Commission;
(12) The TPPPS employee type licensee
committed, attempted to commit, or conspired to commit an act of embezzlement
or larceny;
(13) The TPPPS employee
type licensee has been lawfully excluded from being present upon the premises
of any licensed gambling establishment for any reason relating to cheating or
any violation of the Act;
(14) The
TPPPS employee type licensee bought or sold chips other than to or from the
house, except for exchanging with a patron, chips of one denomination for chips
of another denomination;
(15) The
TPPPS employee type licensee lent money or chips to a gambling enterprise
patron; or,
(16) The TPPPS employee
type licensee made a wager that was not specifically authorized by the game
rules as approved by the Bureau.
(e) A TPPPS category licensee will be subject
to revocation if the Commission finds that:
(1) The TPPPS category licensee has been
convicted of a felony or a crime of moral turpitude that would disqualify the
holder from licensure; or,
(2) The
TPPPS employee type licensee no longer meets any criterion for eligibility,
pursuant to Section
12040.
1. New section
filed 2-8-2007; operative 3-10-2007 (Register 2007, No. 6).
2.
Change without regulatory effect amending section filed 8-8-2008 pursuant to
section 100, title 1, California Code of
Regulations (Register 2008, No. 32).
3. Amendment of subsections
(b), (b)(20), (c) and (c)(10) filed 10-18-2017; operative 1-1-2018 (Register
2017, No. 42).
4. Change without regulatory effect amending
subsections (b), (b)(8)-(11), (b)(19), (d) and (d)(8) filed 5-15-2018 pursuant
to section 100, title 1, California Code of
Regulations (Register 2018, No. 20).
5. Amendment of section heading
and section filed 12-12-2020; operative 1-1-2021 pursuant to Government Code
section 11343.4(b) (Register 2020, No. 51). Filing deadline specified in
Government Code section 11349.3(a) extended 60 calendar days pursuant to
Executive Order N-40-20.
Note: Authority cited: Sections 19825, 19840, 19841, 19930
and 19984, Business and Professions Code. Reference: Sections 19824 and 19930,
Business and Professions Code.
