New York Codes, Rules and Regulations
Title 23 - FINANCIAL SERVICES
Chapter I - Regulations of the Superintendent of Financial Services
Part 2 - Rules Governing the Procedures for Adjudicatory Proceedings Before the Department of Financial Services
Section 2.2 - Hearing officer

Universal Citation: 23 NY Comp Codes Rules and Regs ยง 2.2

Current through Register Vol. 46, No. 12, March 20, 2024

(a) A hearing in an adjudicatory proceeding shall be conducted by a hearing officer chosen from among the following persons:

(1) the Superintendent of Financial Services;

(2) any Deputy Superintendent; or

(3) any designated salaried employee of the Department authorized by the Superintendent for such purpose.

(b) A hearing officer shall have the powers set forth in State Administrative Procedures Act section 304.

(c) No person who shall have previously dealt in a substantial way with the substance of the matter that is the subject of the adjudicatory proceeding, or who has an existing or potential conflict of interest, shall act as the hearing officer in such proceeding.

(d) A hearing officer shall be bound by the Department's code of ethics and the code of ethics as set forth in Public Officers Law section 74.

(e) An application to recuse a hearing officer may be made by any party on the hearing record. The hearing officer shall rule on such application in accordance with the above codes of ethics.

(f) In the event of a hearing officer's death, resignation, removal, recusal, termination of employment, disability, or other inability or failure to otherwise conclude a hearing or make a timely written report after the completion of the hearing, another duly designated hearing officer may be substituted to continue the hearing on the existing record or to render a written report on the completed record.

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