2006 New York Code - License Application; Application For Certificate Of Approval.

 
    § 20-954 License application; application for certificate of approval.
  a.  An  applicant  for  a license or certificate of approval pursuant to
  this chapter shall submit an application in the form and containing  the
  information  prescribed  by the commission. An application for a license
  shall be accompanied by: (i) in the case of any  applicant  business,  a
  list of the names and addresses of all principles of such business, and,
  in the case of a shipboard gambling business, all key employees employed
  or  proposed  to  be employed in the business; and (ii) in the case of a
  shipboard gambling business,  a  list  of  the  names  of  all  key  and
  auxiliary  vendors  and  prospective  and  anticipated key and auxiliary
  vendors and the names  and  job  titles  of  all  gambling  and  service
  employees  and  agents,  prospective  gambling and service employees and
  agents of the applicant business who are or who the  applicant  proposes
  to be engaged in the operation of the shipboard gambling business; (iii)
  such  other  information  as the commission shall determine by rule will
  properly identify employees and agents  and  prospective  employees  and
  agents;   (iv)   in  the  case  of  a  shipboard  gambling  business,  a
  description, accompanied by diagrams where  appropriate,  detailing  the
  provisions  that  will  be  made by the applicant for security and other
  measures  prescribed  for  the  welfare  of  patrons  by  rule  of   the
  commission;  (v)  in  the  case  of  a  shipboard  gambling  business, a
  description of the financial capacity and cash management system of  the
  shipboard  gambling  business demonstrating the ability of such business
  to maintain and operate the business responsibly and to provide  payment
  to  patrons;  and  (vi)  a form signed by each applicant authorizing the
  release to the city of financial and other information required  by  the
  commission  and  waiving any claims against the city that might arise in
  connection with the investigation of the applicant or the release of any
  information resulting  from  such  investigation  to  other  appropriate
  government officials.
    b. i. An applicant for a license or a certificate of approval shall be
  fingerprinted by a person designated for such purpose by the commission,
  the  department  of investigation or the police department and pay a fee
  to be submitted to the division of criminal justice services and/or  the
  federal  bureau  of investigation for the purposes of obtaining criminal
  history records.
    ii. An applicant for a license or  a  certificate  of  approval  shall
  provide  to the commission, upon a form prescribed by the commission and
  subject  to  such  minimum  dollar  thresholds   and   other   reporting
  requirements  set  forth  on  such  form, information for the purpose of
  enabling the commission to determine the  good  character,  honesty  and
  integrity  of the applicant, including but not limited to: (a) a listing
  of the names and addresses of any person having a beneficial interest in
  an applicant business, and the amount and nature of such interest; (b) a
  listing of the amounts in which such applicant  is  indebted,  including
  mortgages  on  real property, and the names and addresses of all persons
  to whom such debts are owed; (c) a  listing  of  such  applicant's  real
  property holdings or mortgage or other interest in real property held by
  such  applicant  other  than  a  primary  residence  and  the  names and
  addresses of all co-owners of such interest; (d) the name and address of
  any business in which such applicant holds an equity or  debt  interest,
  excluding any interest in publicly traded stocks or bonds; (e) the names
  and  addresses  of  all  persons  or entities from whom an applicant has
  received gifts valued at more than one thousand dollars in  any  of  the
  past  three years, and the name of all persons or entities excluding any
  organization recognized by the Internal Revenue  Service  under  section
  501(c)(3)  of  the Internal Revenue Code to whom the applicant has given
  such gifts in any of the past three years; (f) a listing of all criminal


  convictions, in any jurisdiction, of the applicant; (g) a listing of all
  pending civil or criminal actions to which the applicant knows or should
  have known that he or she is a party; (h) a listing of any determination
  by  a  federal,  state  or  city regulatory agency of a violation by the
  applicant of statutes,  laws,  rules  or  regulations  relating  to  the
  applicant's  conduct where such violation has resulted in the suspension
  or revocation of a permit,  license  or  other  permission  required  in
  connection with the operation of a business or in a civil fine, penalty,
  settlement  or  injunctive relief in excess of threshold amounts or of a
  type established by the commission; (i) a listing  of  any  criminal  or
  civil  investigation by a federal, state, or local prosecutorial agency,
  investigative agency or regulatory  agency,  in  the  five  year  period
  preceding  the  application,  wherein such applicant: (A) knew or should
  have known that the applicant was the subject of such investigation,  or
  (B)  has  received  a  subpoena requiring the production of documents or
  information in connection with such investigation; (j)  a  certification
  that an applicant business has paid all federal, state, and local income
  taxes  related  to  the  applicant's business for which the applicant is
  responsible  for  the  three  tax  years  preceding  the  date  of   the
  application or documentation that the applicant is contesting such taxes
  in a pending judicial or administrative proceeding; (k) a listing of any
  license,  permit  or other permission held by the applicant to engage in
  any capacity in a gambling business or activity in any jurisdiction; (l)
  a listing of any denials to the  applicant  by  any  jurisdiction  of  a
  license,  permit  or  other  permission  to  engage in any capacity in a
  gambling business or  activity;  and  (m)  such  additional  information
  concerning  the  sources  and nature of funding of an applicant business
  and the good character, honesty and integrity  of  applicants  that  the
  commission  may deem appropriate and reasonable. An applicant may submit
  any additional information that the applicant believes demonstrates  the
  applicant's good character, honesty and integrity, including a licensing
  determination  from  another jurisdiction. Notwithstanding any provision
  of this subdivision, an applicant for a certificate  of  approval  shall
  not be required to submit information described in subparagraphs (a) and
  (m) of this paragraph or any other information the commission determines
  is  not  necessary  or  appropriate. An applicant may also submit to the
  commission any material or  explanation  which  the  applicant  believes
  demonstrates  that  any information submitted pursuant to this paragraph
  does not reflect adversely upon the applicant's good character,  honesty
  and  integrity.  The  commission may require that applicants pay fees to
  cover the  expenses  of  fingerprinting  and  background  investigations
  provided for in this subdivision.
    iii.  In the case of a shipboard gambling business, the commission may
  also require that an applicant submit any  or  all  of  the  information
  required  by  this paragraph with respect to any affiliate or subsidiary
  of the applicant that owns or operates a business in any jurisdiction.
    iv. Notwithstanding any provision of this  chapter,  for  purposes  of
  this  section  in  the  case of an applicant shipboard gambling business
  that has a parent business entity:  (A)  fingerprinting  and  disclosure
  under  this  section  shall  be  required of any person acting for or on
  behalf of the parent business who has direct management  or  supervisory
  responsibility  for  the operations or performance of the applicant; (B)
  the chief executive officer, chief operating officer and chief financial
  officer, or any other person exercising comparable responsibilities  and
  functions, of any subsidiary or affiliate of such parent business entity
  over  which  any  person  subject to fingerprinting and disclosure under
  subparagraph (A) of this paragraph  exercises  similar  responsibilities
  shall  be  fingerprinted  and  shall  submit  the  information  required


  pursuant  to  subparagraphs  (f)  and  (g)  of  paragraph  ii  of   this
  subdivision,  as  well  as  such additional information pursuant to this
  paragraph as the commission may find  necessary;  and  (C)  the  listing
  specified  under  subparagraph  (i)  of paragraph ii of this subdivision
  shall also be provided for any subsidiary or  affiliate  of  the  parent
  business  entity  for  which fingerprinting and disclosure by principals
  thereof is made pursuant to (B) of this paragraph.
    v. The chief executive officer,  chief  operating  officer  and  chief
  financial   officer,   or   any   other   person  exercising  comparable
  responsibilities and functions, of any  subsidiary  or  affiliate  of  a
  shipboard  gambling business shall be fingerprinted and shall submit the
  information required pursuant to  subparagraphs  (f),  (g)  and  (i)  of
  paragraph  ii  of  this  subdivision,  as well as such other information
  pursuant to this paragraph that the commission may find necessary.
    c. A business required to be licensed pursuant to this  chapter  shall
  inform  the  commission, within a reasonable time, of any changes in the
  ownership composition of such business, the addition or deletion of  any
  principal  at  any  time  subsequent to the issuance of the license, the
  arrest or criminal conviction of any principal of the business , or  any
  other  material  change  in the information submitted on the application
  for a license. A business required to  be  licensed  shall  provide  the
  commission  with  notice  of  at least ten business days of the proposed
  addition of a new principal to such business. The commission  may  waive
  or  shorten  such  period  upon  a showing that there exists a bona fide
  business requirement therefor. Except where  the  commission  determines
  within  such  period,  based  upon information available to it, that the
  addition of such new  principal  may  have  a  result  inimical  to  the
  purposes  of  this  chapter,  the  licensee  may  add such new principal
  pending the completion of review by the commission. The  licensee  shall
  be  afforded  an  opportunity  to demonstrate to the commission that the
  addition of such new principal pending completion of such  review  would
  not  have a result inimical to the purposes of this chapter. If upon the
  completion of such review, the commission determines that such principal
  has not demonstrated that he or she possesses  good  character,  honesty
  and integrity, the license shall cease to be valid unless such principal
  divests  his  or her interest, or discontinues his or her involvement in
  the business of such licensee, as the case may be, within  a  reasonable
  time period prescribed by the commission.
    d.  Each  applicant  business  shall  provide  the  commission  with a
  business address in New York city where notices  may  be  delivered  and
  legal  process  served  and shall designate a person of suitable age and
  discretion at such address who shall be an agent for service of process.