Current through Register Vol. 51, No. 19, September 20, 2024
A.
Permissible Sanctions. The Commission may:
(1) Impose a penalty on the licensee not
exceeding $5,000 for each day and each violation; and
(2) In addition to any penalty assessed:
(a) Revoke the licensee's license;
(b) Suspend the licensee's license for a
period of time;
(c) Reprimand the
licensee; or
(d) Impose conditions
upon the licensee that must be met within a specified time as to:
(i) Training;
(ii) Staffing;
(iii) Supervision;
(iv) Compliance with internal
controls;
(v) Probationary periods;
or
(vi) Any other directive to
address the violation.
B. Penalty-Required Considerations. To
determine the amount of a penalty to impose on a licensee, the Commission shall
consider:
(1) The seriousness of the
violation;
(2) The harm caused by
the violation; and
(3) Whether the
person who committed the violation acted in good faith.
C. Sanction-Considerations. To determine the
appropriate sanction to impose on a licensee, the Commission may consider the
factors in §B of this regulation, and:
(1) Whether a violation was
willful;
(2) Whether the licensee
had, or should have had, control of the situation;
(3) Whether the violation may have occurred
in connection with unclear or insufficient:
(a) Information;
(b) Training;
(c) Communication; or
(d) Requirements;
(4) Any extraordinary
circumstances;
(5) Prior
disciplinary history with the Commission;
(6) Profit that resulted, or may have
resulted, from the violation;
(7)
Harm that resulted, or may have resulted, from the violation;
(8) How the violation was detected;
(9) Action taken by the licensee to prevent
recurrence of the violation;
(10)
Action taken by the Commission to address similar violations; and
(11) Any other information that the
Commission finds relevant.
D. Ignorance No Defense. A licensee is
presumed to be familiar with applicable statutes and regulations governing the
State's Sports Wagering Program, and a claim of ignorance of the statutes and
regulations may not be used as a defense to a finding of a violation or to the
imposition of a sanction.
E.
Imposition of Sanction. A separate sanction may be imposed for each
violation.
