N.Y. Comp. Codes R. & Regs. tit. 9 § 5113.1

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

Section 5113.1 - Suspension and revocation of a license or discipline of a licensee

(a) Acceptance of a video lottery gaming license or renewal thereof by a licensee constitutes an agreement on the part of the licensee to be bound by these regulations and the policies and procedures of the commission. It is the affirmative responsibility of all licensees to keep informed of the content of all such regulations, policies and procedures and amendments thereto. Any licensee, other than a natural person, may be held accountable for the violations of such licensee's principals or key employees. The commission may suspend or revoke any license issued by the commission for any violation of these regulations.

(b) At the discretion of the commission, a license issued under these regulations may be subjected to suspension or revocation, the renewal of such license may be rejected or a licensee may be fined for any of the following reasons, or any combination thereof:

(1) any violation of any provision of such license, the act, other applicable law or these regulations;

(2) failure to comply with instructions of the commission concerning a licensed activity;

(3) conviction of any:

(i) felony offense, as such term as defined in State Penal Law section 10.00(5), or an equivalent offense committed in another jurisdiction;

(ii) a misdemeanor related to gambling, gaming, bribery, fraud, or any other offense prejudicial to public confidence in the State lottery;

(4) failure to file any returns or reports or to keep records or to pay any fee or submit revenue as may be required;

(5) fraud, deceit, misrepresentation or conduct prejudicial to public confidence in the commission;

(6) failure to furnish a surety or other bond in such amount as may be required by the commission;

(7) a material change since issuance of the license with respect to any matter required to be considered by the commission;

(8) whenever the commission finds that the licensee's experience, character, and general fitness are such that participation in video lottery gaming is inconsistent with the public interest or convenience or for any other reason within the discretion of the commission;

(9) the failure to notify the commission, in writing, within a reasonable time of any arrest for a misdemeanor or a felony, indictment, or service of a summons, or conviction for any felony whether within or without the State, or within or without the United States, occurring during the term of the license or the renewal thereof.

(c) Prior to commencing a disciplinary proceeding, each licensee shall have the opportunity to correct and/or explain the issue raised by the commission.

(d) Upon suspension or revocation of any license issued pursuant to these regulations, other than a video lottery gaming agent license, the licensee shall surrender such license and any badges for the video lottery gaming facility to the commission. Such licensee shall be banned from entering the video lottery gaming facility for a period of one year or until the license is reinstated, whichever first occurs.

(e) Upon termination of a video lottery gaming agent's license for any reason, the video lottery gaming agent shall:

(1) go to such agent's bank on a date designated by the commission for the purpose of rendering a final video lottery gaming accounting of any accounts established by these regulations;

(2) surrender of the video lottery gaming agent's license and other material provided by the commission;

(3) upon failure of any video lottery gaming agent to settle accounts on or before the designated date, the commission may exercise such enforcement powers as may be provided for by law. The video lottery gaming agent will provide unrestricted entry onto such agent's premises for the purpose of the removal of all video lottery gaming equipment and incidentals.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 5113.1

Amended by New York State Register September 24, 2014/Volume XXXVI, Issue 38, eff. 9/24/2014.