2023 New York Laws › PML - Racing, Pari-Mutuel Wagering and Breeding Law › Article 1 - Supervision and Regulation › 107 - Conflicts Prohibited.

§  107.  Conflicts  prohibited.  1. No person shall be appointed to or
employed by the commission if, during the period commencing three  years
prior  to  appointment  or  employment,  such  person held any direct or
indirect interest in, or employment by, any corporation, association  or
person engaged in gaming activity within the state. Prior to appointment
or  employment, each member, officer or employee of the commission shall
swear or affirm that he or she possesses no interest in any  corporation
or  association  holding a franchise, license, registration, certificate
or permit issued by the commission. Thereafter, no member or officer  of
the  commission  shall hold any direct interest in or be employed by any
applicant for or by any corporation, association  or  person  holding  a
license,  registration,  franchise,  certificate or permit issued by the
commission for a period of four years commencing on the date his or  her
membership  with  the commission terminates. Further, no employee of the
commission may acquire any direct or indirect  interest  in,  or  accept
employment  with,  any  applicant  for  or any person holding a license,
registration, franchise, certificate or permit issued by the  commission
for  a  period  of two years commencing at the termination of employment
with the commission.  The  commission  may,  by  resolution  adopted  by
unanimous  vote  at  a  properly  noticed public meeting, waive for good
cause the pre-employment restrictions enumerated in this subdivision for
a prospective employee whose duties and responsibilities  are  primarily
on  racetrack  grounds.  Such adopted resolution shall state the reasons
for waiving the pre-employment conditions for the prospective  employee,
including  a  finding that there were no other qualified candidates with
the desired experience for the specified position.
2. No member, officer, official or employee of  the  commission  shall
participate  as  an owner of a horse or otherwise as a contestant in any
horse race at  a  race  meeting  which  is  under  the  jurisdiction  or
supervision of the commission, or have any pecuniary interest, direct or
indirect,  in  the  purse,  prize, premium or stake contested for at any
such horse race or in the operations of any licensee of  the  commission
or  state  racing  franchisee.  Participation  as an owner of a horse or
otherwise as a contestant in any such horse race by a  member,  officer,
other  official  or  employee  of  the  commission  in violation of this
prohibition shall terminate the term of his or her office as  a  member,
or  his  or  her  services  as an officer or official or employee of the
commission.
3. No member, officer or employee of the commission shall  wager  upon
gaming or horse racing activity conducted within the state.
4.  No individual employed by an off-track betting corporation or race
track licensed pursuant to this chapter as a pari-mutuel clerk,  cashier
or  seller  shall  be permitted to wager upon gaming activity during any
period of a day on which such person is employed in such capacity.
5. No public officer or party officer shall hold any racing  or  video
lottery gaming license from the commission.
6.  The  following  public  employees  are prohibited from holding any
license from the commission:
(a) an employee of the commission;  any  director  or  employee  of  a
regional   off-track  betting  corporation  employed  in  a  management,
confidential or supervisory capacity for purposes of their position with
off-track betting; or
(b) an employee of the state legislature; provided, however,  that  an
employee  of  the state legislature whose duties in such position do not
relate to gaming activities shall not be subject to the prohibitions  of
this  section  if  he or she held a license from the former state racing
and wagering board while employed by the state legislature prior to July
first, nineteen hundred eighty; or
(c) an employee of any local legislative  body  whose  duties  involve
gaming activities; or
(d)  an  employee  of  any  state or local board, agency, authority or
other state or local governmental body, the duties of  which  relate  to
gaming activities or the taxation thereof.
7. No public officer, public employee or party officer shall:
(a)  own  or  hold,  directly or indirectly, any proprietary interest,
stock or obligation of any firm, association or corporation (i) which is
licensed by the commission to conduct  video  lottery  gaming  or  horse
racing  activities,  or  (ii)  which  conducts its occupation, trade, or
business at a racetrack at which pari-mutuel race meets are conducted or
facility where video lottery gaming activity is conducted whether or not
a license is required, or (iii) which owns or leases to any enfranchised
or licensed association or corporation a racetrack at which  pari-mutuel
racing  is  conducted or facility where video lottery gaming activity is
conducted, or (iv) which participates in the management of any franchise
holder or licensee conducting  video  lottery  gaming  or  horse  racing
activities; or
(b)  hold  any  office  or  employment  with  any firm, association or
corporation specified in paragraph (a) of this  subdivision,  except  as
provided in subdivision eight of this section; or
(c)  sell,  or be a member of a firm, or own ten per centum or more of
the stock of any corporation, which sells any goods or services  to  any
firm,  association  or  corporation  specified  in paragraph (a) of this
subdivision. For purposes of this  subdivision,  a  direct  or  indirect
interest  shall  not  include  an interest in a mutual fund or any other
diversified investments over which  the  recipient  does  not  know  the
identity of the primary source of income.
8.  The  provisions  of  paragraph  (b)  of  subdivision seven of this
section shall not apply to a public employee other than an  employee  of
the  commission,  a  police  officer  or  a  peace officer employed by a
sheriff's office, district attorney's office or other state or local law
enforcement  agency,  or  those  employees  classified   as   management
confidential  employees  pursuant to section two hundred fourteen of the
civil service law who are employed by a state or local  law  enforcement
agency  or  regional  off-track  betting corporation; provided, however,
that  employment  of  employees  of  a  political  subdivision  may   be
prohibited  by  ordinance,  resolution or local law adopted by the local
legislative body or other governing board of such political subdivision.
9. The commission shall have the power to refuse to grant or to revoke
or suspend a license of any person, association or corporation that aids
or knowingly permits or conspires to permit any public  officer,  public
employee  or  party officer to acquire or retain any interest prohibited
by this section and shall have the power to exclude from the grounds  of
any racing association any such person, association or corporation.
10. Notwithstanding any other provision of law, and in addition to any
other cause of removal provided by law, an intentional violation of this
section shall be cause for removal from public office, public employment
or  party office. In any such case, such public officer, public employee
or party officer violating this section shall be removed from office  by
the  appropriate authority having the power of removal or at the suit of
the attorney general. Further, such public officer, public  employee  or
party  officer  shall be liable for a civil penalty of not more than ten
thousand dollars.