Code of Maine Rules › 18 - DEPARTMENT OF ADMINISTRATIVE AND FINANCIAL SERVICES › 691 - OFFICE OF MARIJUANA POLICY › Chapter 1 - Adult Use Marijuana Program Rule › Section 691-1-3 - General Compliance

Current through 2024-29, July 17, 2024
3.1 - Reporting of
				Ownership, Financial, Management and Other Interests
Licensees shall not attempt to conceal or disguise ownership
				  or other control over their operations. The Department retains discretion to
				  determine when a transfer of ownership interests has occurred. Licensees must
				  comply with all reporting requirements regarding ownership, financial,
				  management and other interests as required by this rule. Natural persons with
				  indirect financial interests as defined in Section 1.4(50)(h) shall be included
				  in the same category as those with a like direct financial interest. It is the
				  exclusive responsibility of the applicant to clearly indicate on any forms,
				  attachments, and supplemental information supplied to the Department any
				  content the applicant deems to be trade secrets or other information that would
				  be within the scope of a privilege against discovery or use as evidence
				  recognized by the courts of this State in civil or criminal trials if the
				  records or inspection thereof were sought in the course of a court proceeding,
				  which may otherwise be included as a "public record" pursuant to
				  1 MRS
				  §402(3) in a response
				  to a request for records and information under the Maine Freedom of Access
				  Act.
3.1.1
Notice and Department
				Approval Required.
Any change in ownership interests, including those in
				Section 1.4(50)(a), (b), and (g), requires Departmental approval under Section
				2.11 prior to anyone with a new ownership interest associating with the
				licensee.
3.1.2
Notice and
				Individual Identification Cardholders.
Before any new officer, director,
				manager or general partner or new contractor or consultant as defined in
				Section 1.4(50)(f) may associate with a licensee, the licensee shall comply
				with
				28-B MRS
				§213 and this rule in regards to that
				person.
3.1.3
Notice and
				Assessment.
For any financial interest that does not require prior
				approval or notice as above, such as Section 1.4(50)(c) and (e) the licensee
				shall notify the Department prior to the beginning of that association and the
				Department will consider whether the interest has been appropriately
				characterized and whether
				28-B MRS
				§205(2) is
				implicated.
3.1.4
Notice of
				Termination and Changes.
The licensee shall notify the Department within
				5 business days of the termination of any direct or indirect financial
				interest, and of any significant change to the nature or extent of that
				interest.
3.1.5
No Prior
				Notice Required.
Without prior notice to and approval by the Department,
				licensees may employ and contract with any persons who clearly do not fall
				within the definition of those with direct or indirect financial interests in
				the licensee, for the operation of a cannabis establishment, so long as each
				such person has a valid individual identification card. Employment of an
				employee having a direct or indirect financial interest in the license solely
				through an ESOP as defined in Section 1.4(50)(i) does not require prior notice
				or approval by the Department provided that the licensee appropriately reports
				the ESOP, by reporting annually, on forms provided by the Department, the name
				of any person holding an equity interest in the licensee through an ESOP.
				Compensation for such persons must not be structured as a means of evading the
				provisions of this rule. As employers, licensees are required to follow all
				applicable local, state and federal employment laws. including, without
				limitation, laws pertaining to workplace safety, hours and wages, and all other
				laws pertaining to the employment of persons in the State of Maine. Nothing in
				this rule shall be construed to exempt a cannabis establishment from the rights
				and responsibilities associated with being an employer.