Regulation .10 Imposition of Sanctions.
Regulation .10 Imposition of Sanctions.LinkCopy Citation
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.