Current through September 9, 2024
(a)
Generally. No person may participate in this state in any activity
permitted under Chapter 226 of the Connecticut General Statutes as an employee
of an association, concessionaire, vendor, totalisator or affiliate licensee
unless such person is licensed as a class I, class II or class III occupational
licensee by the executive director. Greyhound owners and trainers must also
obtain occupational licenses from the executive director.
An applicant's background will be investigated, and applicants
will be required to supply information as to name, legal residence, address,
social security number, date and place of birth, past employment, previous
ourrent involvement in the gambling industry, personal references, and any
criminal record.
(b)
Class I: noncontrol persons. Noncontrol persons will be required
to certify on their applications their noncontrol status. Additionally, the
licensed entity employing such persons shall submit a statement to the division
certifying the noncontrol status of such employees.
(c)
Class II: control persons.
Whether located in or out of this state, no officer, director, partner, trustee
or owner of a business organization licensed by either the board or the
division may continue in such capacity unless such officer, director, partner,
trustee or owner is licensed as an occupational licensee by the executive
director.
An occupational license shall also be obtained by any
shareholder, key executive, agent, or other person connected with any
association, concessionaire, vendor, totalisator, or affiliate licensee, who in
the judgment of the executive director will exercise control in or over any
such licensee. Such person shall apply for a license not later than thirty days
after the executive director requests him in writing to do so. The general
manager, assistant general manager, and mutuel manager of an association as
well as the player's manager of a jai alai fronton and the racing secretary of
a racetrack shall be presumed to be control persons, and in this regard said
positions will be determined by function and not necessarily solely by
title.
An applicant's background will be investigated, and applicants
will be required to supply:
(1)
Applicant's name, legal residence, address, social security number, date and
place of birth, past and present marital status.
(2) Names, addresses, dates of birth, and
occupations of immediate family members.
(3) Past military history.
(4) A ten year employment history including
salaries and other compensation and percentage of ownership both debt or equity
in the employing business indicated.
(5) A statement indicating all business
organizations of which the applicant is or has been an officer, director,
partner, trustee, owner, principal stockholder, or other controlling person
within the past ten years including salaries and other compensation and
percentage of ownership both debt or equity in the business organization
indicated. Information describing bankruptcies of any such business
organizations must also be provided.
(6) If applicant now has or has ever had an
interest in or connection with a legalized gambling entity, has ever applied
for a license relating to legalized gambling, has had a license application
denied, has ever held a license, or had a license suspended or revoked, whether
within or without the state of Connecticut, a statement fully disclosing:
(A) The names and addresses of the involved
persons or business organizations;
(B) The nature of the interest or connection
including the dates of such;
(C)
The name under which such legalized gambling activity was conducted;
(D) A complete description of the legalized
gambling activity and the licensing procedures; and
(E) Any administrative findings of violation
relating to gambling.
(7) A statement disclosing and explaining
licensure in any other regulated industry including but not limited to liquor,
real estate, accountancy, law, medicine, pharmacy, securities, gambling or
firearms.
(8) A detailed statement
of financial position indicating all assets and liabilities and net
worth.
(9) A detailed statement
showing all assets pledged.
(10) A
detailed statement showing income from all sources.
(11) Disclosure of bank accounts, securities
accounts, and depositories.
(12)
Complete copies of the applicant's most recent federal, state and municipal tax
returns.
(13) A statement of
compliance with the disclosure provisions of the act and these rules and
regulations and an explanation of any noncompliance.
(14) A statement explaining any bankruptcy
within the past six years and currently material (more than $100,000)
outstanding litigation and disclosable contingent liabilities providing such
details as dates, names of principal parties, basis, and potential impact on
applicant's financial position in the event of an unfavorable
decision.
(15)
(A) If the applicant is related through
control, or family, or business association to any individual or business
organization doing business with any legalized gambling entity by providing or
receiving goods or services, a statement giving the names and addresses of the
related individuals and a full description of the goods or services rendered
indicating the dollar value and, where known, the percentage of business such
represents. If a fee or other consideration was or is to be paid or received
for these transactions, the value and recipient of such must be
indicated.
(B) If any of the
officers, directors, or controlling equity positions of the gambling entity are
related through control, family ownership, or business association to any
individual or business organization which has provided to or received from the
applicant any mortgages, loans, leases, realty, buildings, or equipment, a
statement containing the names and addresses of the individuals or business
organizations providing or receiving the aforementioned items, indicating the
names and addresses of the related individuals, and fully describing the items
provided or received including dollar value. If a fee or other consideration
was or is to be paid or received for these transactions, the value and
recipient of such must be indicated.
(16) A statement explaining any outstanding
tax delinquencies or unresolved disputes involving the applicant within the
last five years.
(17) Except where
otherwise prohibited by law, an explanation of any conviction of a crime other
than a minor traffic violation; of any questioning or testimony by or before a
law enforcement agency, commission, or committee, a court, or grand jury in the
investigation of a crime involving gambling violations or a felony; and of any
felony conviction of a member of applicant's household or other person who has
a beneficial interest in applicant's interest in the legalized gambling
venture. Testimony given as a witness in ordinary proceedings before an
administrative agency regulating legalized gambling need not be disclosed under
this subdivision.
(d)
Class III: nonmanagement related persons. Notwithstanding the
provisions of subsection (b), above, a partner, trustee, shareholder or owner
(including beneficial owners) of a business organization licensed by either the
board or the division who in the judgment of the executive director does not
substantially participate in the operation, management, or policy making
decisions of the licensed business organization may be licensed as a class III
occupational licensee.
(1) The class III
license applicant's background will be subject to an investigation which shall
consist of:
(A) A Connecticut criminal history
search through the Connecticut State Police Bureau of Identification;
(B) A federal criminal history
search;
(C) A review and
examination of disclosure information; and
(D) Such other investigation as may be deemed
appropriate.
(2) The
applicant shall file on such forms as may be required for licensure under
subsection (b) above and shall supply all informational requests cited therein.
The applicant shall provide an affidavit or statement made under penalty of
perjury of nonsubstantial involvement in the licensed business organization. In
addition, similar affidavits or statements made under penalty of perjury shall
be required from the licensed business organization invested in by the
applicant certifying as to the applicant's nonsubstantial involvement except as
an investor with said licensed business organization.
(3) Any partner, trustee, shareholder or
owner of a licensed business organization who applies for a class II
occupational license may be issued a conditional class III occupational license
to be valid only until such time as the comprehensive background investigation
is completed.
(4) The class III
occupational licensee may share in the distributions of the business
organization, but shall not substantially participate in its operation,
management or policy making decisions.
(e)
Conditions of licensure.
(1) If a license is granted, the applicant
agrees to abide by and comply with the provisions of the act and any rules and
regulations as the division with the advice and consent of the board has
adopted or may hereafter adopt.
(2)
If a license is granted, it will become the duty of the applicant/licensee to
file with the board and the division such reports and financial data as may be
required by the act or by such rules and regulations as the division with the
advice and consent of the board has adopted or may hereafter adopt and to make
such payments as may be required by said act or rules and regulations. This
duty shall continue for the entire duration of the license.
(3) All exhibits, statements, reports,
papers, data, etc. submitted pursuant to an application for an occupational
license shall be current, accurate, and complete. Applicant or licensee shall
immediately provide the division with a full description of any significant
operational change in any of the information submitted as part of its
application.
(4) Any license which
may be granted to an applicant is predicated upon the information contained in
its application which applicant verifies under oath. For any material false or
misleading statement or answer in an application, said application may be
denied, or if a license has already been granted, the licensee may be fined or
such license may be suspended or revoked or any combination thereof.
(5) Fingerprints and photographs shall be
required of all applicants for an occupational license.
(f) License denials. The division shall deny
an application for an occupational license to any applicant who is disqualified
on the basis of the following criteria:
(1)
Failure of the applicant to provide information, documentation and assurances
requested by the division, or the failure of the applicant to reveal any fact
material to qualification, or the supplying of information which is untrue or
misleading as to a material fact pertaining to the qualification criteria;
provided, however, that these disqualification provisions may not apply if the
applicant failed to reveal one misdemeanor conviction, if such conviction did
not occur within the 10 year period immediately preceding application for
licensure or the conviction was the subject of a judicial order of expungement
or sealing.
(2) The conviction of
the applicant, or of any person who is required to be licensed, of any offense
in any jurisdiction which would be a felony including classes a, b, c, d and
unclassified felonies, under the Connecticut General Statutes as
amended.
(3) Any other offense
under Connecticut, or other state or federal law which would be inimical to
gaming operations; including, but not limited to the following:
(A) assault in the third degree
(B) assault of a victim sixty or older in the
third degree
(C) fraudulent use of
automatic teller machines
(D) bad
checks
(E) coercion
(F) commercial bribery
(G) computer crime in the fourth
degree
(H) credit card
crimes
(I) criminal
Impersonation
(J) criminal
simulation
(K) cruelty to
persons
(L) defrauding secured
party
(M) disclosure of a bid or
proposal
(N) diversion from state
of benefit of labor of employees
(O) failure to appear in the second
degree
(P) false
statements
(Q) falsely reporting an
incident
(R) forgery in the third
degree
(S) forgery of symbols of
value
(T) intimidation based on
bigotry or bias
(U) larceny in the
fourth, fifth or sixth degree
(V)
manufacture or possession of burglar's tools
(W) money laundering in the fourth
degree
(X) possession of controlled
substance
(Y) possession, sale,
etc. of gambling devices or records
(Z) professional gambling
(AA) prostitution
(BB) reckless endangerment in the first and
second degree
(CC) rigging of
contests
(DD) sexual assault in the
fourth degree
(EE) unlawful use of
slugs in coin machines
(FF)
stalking in the second degree
(GG)
tampering with private communications
(HH) threatening
(II) transmission of gambling
information
(JJ) unlawful discharge
of firearms and other firearm related misdemeanors
(KK) unlawful entry of coin
machines
(LL) unlawful restraint in
the second degree
(MM) wiretapping
provided, however, that these disqualification provisions may
not apply if conviction did not occur within the 10 year period immediately
preceding application for licensure or any conviction has been the subject of a
judicial order of expungement or sealing; and provided further that the
requirements of section
46a-80
of the Connecticut General Statutes are first followed.
(4) The pursuit by the applicant
or any person who is required to be licensed, of economic gain in an
occupational manner or context which is in violation of the criminal or civil
public policies of this state, if such pursuit creates a reasonable belief that
the participation of such person in legalized gaming operations would be
inimical to the policies of the division. Occupational manner or context shall
be defined as the systematic planning, administration, management or execution
of an activity for financial gain;
(5) The identification of the applicant or
any person who is required to be licensed as a career offender or a member of a
career offender cartel or an associate of a career offender or career offender
cartel in such a manner which creates a reasonable belief that the association
is of such a nature as to be inimical to the policy of the division and to
gaming operations. For purposes of this section, career offender shall be
defined as any person whose behavior is pursued in an occupational manner or
context for the purpose of economic gain, utilizing such methods as are deemed
criminal violations of the public policy of this state. A career offender
cartel shall be defined as any group of persons who operate together as career
offenders;
(6) Contumacious
defiance by the applicant or any person who is required to be licensed of any
legislative investigatory body or other official investigatory body of any
state or of the United States when such body is engaged in the investigation of
crimes relating to gaming, official corruption, or organized crime
activity;
(7) Financial unsoundness
of an applicant, including excessive debt, that may enhance the chances of
unfair practices or activities, when such applicant's financial difficulties
are considered in relation to the position being applied for and that
position's responsibilities.
(g)
Deferment. If an applicant
for an occupational license has criminal charge(s) pending for any crime as
described in subsection (f) (2) of this section, the division may defer
decision on the application until a reasonable time after final
disposition.
(h)
Nontransferability. No license shall be transferable or assignable
in any manner or particular.
(i)
Duration of licensure and renewals. Any license granted by the
executive director shall be effective for not more than one year. Class I
occupational licenses for noncontrol persons shall expire on the close of the
31st day of December of the year of the date of such license approval. Class II
and class III occupational licenses shall expire on the close of the 31st day
of August of each year. Each applicant for renewal shall provide currently
updated application material but will not be required to resubmit historical
data which is already available to the division.
(j)
Certification. The license
application shall be signed and attested to under oath before a notary public
or Commissioner of the Superior Court by the applicant.
