Connecticut Administrative Code › Title 12 - Taxation › 574-E - Licensing and Disclosure › Section 12-574-E5 - Occupational licenses

Current through July 10, 2024
(a)
Generally
. No person may participate in this state in any activity
			 permitted under Chapter 226 of the Connecticut General Statutes as an employee
			 of an association, concessionaire, vendor, totalisator or affiliate licensee
			 unless such person is licensed as a class I, class II or class III occupational
			 licensee by the executive director. Greyhound owners and trainers must also
			 obtain occupational licenses from the executive director.
An applicant's background will be investigated, and applicants
				will be required to supply information as to name, legal residence, address,
				social security number, date and place of birth, past employment, previous
				ourrent involvement in the gambling industry, personal references, and any
				criminal record.
(b)
Class I: noncontrol persons
. Noncontrol persons will be required
			 to certify on their applications their noncontrol status. Additionally, the
			 licensed entity employing such persons shall submit a statement to the division
			 certifying the noncontrol status of such employees.
(c)
Class II: control persons
.
			 Whether located in or out of this state, no officer, director, partner, trustee
			 or owner of a business organization licensed by either the board or the
			 division may continue in such capacity unless such officer, director, partner,
			 trustee or owner is licensed as an occupational licensee by the executive
			 director.
An occupational license shall also be obtained by any
				shareholder, key executive, agent, or other person connected with any
				association, concessionaire, vendor, totalisator, or affiliate licensee, who in
				the judgment of the executive director will exercise control in or over any
				such licensee. Such person shall apply for a license not later than thirty days
				after the executive director requests him in writing to do so. The general
				manager, assistant general manager, and mutuel manager of an association as
				well as the player's manager of a jai alai fronton and the racing secretary of
				a racetrack shall be presumed to be control persons, and in this regard said
				positions will be determined by function and not necessarily solely by
				title.
An applicant's background will be investigated, and applicants
				will be required to supply:
(1)
			 Applicant's name, legal residence, address, social security number, date and
			 place of birth, past and present marital status.
(2) Names, addresses, dates of birth, and
			 occupations of immediate family members.
(3) Past military history.
(4) A ten year employment history including
			 salaries and other compensation and percentage of ownership both debt or equity
			 in the employing business indicated.
(5) A statement indicating all business
			 organizations of which the applicant is or has been an officer, director,
			 partner, trustee, owner, principal stockholder, or other controlling person
			 within the past ten years including salaries and other compensation and
			 percentage of ownership both debt or equity in the business organization
			 indicated. Information describing bankruptcies of any such business
			 organizations must also be provided.
(6) If applicant now has or has ever had an
			 interest in or connection with a legalized gambling entity, has ever applied
			 for a license relating to legalized gambling, has had a license application
			 denied, has ever held a license, or had a license suspended or revoked, whether
			 within or without the state of Connecticut, a statement fully disclosing:
(A) The names and addresses of the involved
			 persons or business organizations;
(B) The nature of the interest or connection
			 including the dates of such;
(C)
			 The name under which such legalized gambling activity was conducted;
(D) A complete description of the legalized
			 gambling activity and the licensing procedures; and
(E) Any administrative findings of violation
			 relating to gambling.
(7) A statement disclosing and explaining
			 licensure in any other regulated industry including but not limited to liquor,
			 real estate, accountancy, law, medicine, pharmacy, securities, gambling or
			 firearms.
(8) A detailed statement
			 of financial position indicating all assets and liabilities and net
			 worth.
(9) A detailed statement
			 showing all assets pledged.
(10) A
			 detailed statement showing income from all sources.
(11) Disclosure of bank accounts, securities
			 accounts, and depositories.
(12)
			 Complete copies of the applicant's most recent federal, state and municipal tax
			 returns.
(13) A statement of
			 compliance with the disclosure provisions of the act and these rules and
			 regulations and an explanation of any noncompliance.
(14) A statement explaining any bankruptcy
			 within the past six years and currently material (more than $100,000)
			 outstanding litigation and disclosable contingent liabilities providing such
			 details as dates, names of principal parties, basis, and potential impact on
			 applicant's financial position in the event of an unfavorable
			 decision.
(15)
(A) If the applicant is related through
			 control, or family, or business association to any individual or business
			 organization doing business with any legalized gambling entity by providing or
			 receiving goods or services, a statement giving the names and addresses of the
			 related individuals and a full description of the goods or services rendered
			 indicating the dollar value and, where known, the percentage of business such
			 represents. If a fee or other consideration was or is to be paid or received
			 for these transactions, the value and recipient of such must be
			 indicated.
(B) If any of the
			 officers, directors, or controlling equity positions of the gambling entity are
			 related through control, family ownership, or business association to any
			 individual or business organization which has provided to or received from the
			 applicant any mortgages, loans, leases, realty, buildings, or equipment, a
			 statement containing the names and addresses of the individuals or business
			 organizations providing or receiving the aforementioned items, indicating the
			 names and addresses of the related individuals, and fully describing the items
			 provided or received including dollar value. If a fee or other consideration
			 was or is to be paid or received for these transactions, the value and
			 recipient of such must be indicated.
(16) A statement explaining any outstanding
			 tax delinquencies or unresolved disputes involving the applicant within the
			 last five years.
(17) Except where
			 otherwise prohibited by law, an explanation of any conviction of a crime other
			 than a minor traffic violation; of any questioning or testimony by or before a
			 law enforcement agency, commission, or committee, a court, or grand jury in the
			 investigation of a crime involving gambling violations or a felony; and of any
			 felony conviction of a member of applicant's household or other person who has
			 a beneficial interest in applicant's interest in the legalized gambling
			 venture. Testimony given as a witness in ordinary proceedings before an
			 administrative agency regulating legalized gambling need not be disclosed under
			 this subdivision.