Missouri Code of State Regulations › Title 11 - DEPARTMENT OF PUBLIC SAFETY › Division 45 - Missouri Gaming Commission › Chapter 5 - Conduct of Gaming › Section 11 CSR 45-5.056 - Ethical Restrictions

Current through Register Vol. 49, No. 14, July 15, 2024
PURPOSE: This amendment updates the class
				  designation, corrects the Supplier license title for consistency with other
				  regulations in 11 CSR 45, and replaces "riverboat" with "excursion gambling
				  boat" for consistency with the term defined in statute.
(1) For purposes of this
				rule-
(A) "Affiliate" shall be defined as any
				entity with a parent company that is a holder of or applicant for a Class A or
				Supplier's license, or any entity that shares a common parent company with a
				holder of or applicant for a Class A or Supplier license;
(B) "Appointed official" shall be defined as
				any employee or agent of a governmental entity who holds a position with
				discretionary authority to take or vote on the following
				actions:
1. Promulgation of ordinances, rules,
				or regulations with the effect of law that are applicable to the operations of
				a holder of or applicant for a Class A, Class B, or Supplier license;
2. Granting of governmental approvals,
				licenses, or certifications to a holder of or applicant for a Class A, Class B,
				or Supplier license;
3. Enforcement
				of statutes or of ordinances, rules, or regulations with the effect of law
				against a holder of or applicant for a Class A, Class B, or Supplier license;
				provided that, in the case of law enforcement personnel, such person must-
A. Actually exercise such
				authority;
B. Be specifically
				assigned by the governmental entity to exercise such authority; or
C. Hold the power to assign such personnel
				to exercise such authority; and
4. Entering into any contract or agreement
				between the governmental entity and a holder of or applicant for a Class A,
				Class B, or Supplier license;
(C) "Commission representative" shall be
				defined as any member, employee or agent of the commission or any employee of
				the state highway patrol designated by the superintendent of the highway patrol
				to have direct regulatory authority related to excursion gambling boats or any
				employee of the state attorney general's office designated by the state
				attorney general to have direct regulatory authority related to excursion
				gambling boats;
(D) "Direct gaming
				activity" shall be defined as the management of a casino, the operation of
				gambling games, the receipt of wagers as part of such games, the payment of
				winnings to wagerers involved in such games, and the providing of gaming
				equipment or supplies;
(E) "Direct
				ownership interest" shall be defined as any financial interest, equitable
				interest, beneficial interest, or ownership control held by the government
				official, or such person's family member related within the second degree of
				consanguinity or affinity, in an excursion gambling boat operation; in any
				holder of or applicant for a Class A, Class B, or Supplier license; or in any
				holding company or affiliate company of a holder of or applicant for a Class A,
				Class B, or Supplier license; provided that a direct ownership interest shall
				not include any equity interest purchased at fair market value, or equity
				interest received as consideration for goods and services provided at fair
				market value, of less than one percent (1%) of the total outstanding shares of
				stock of any publicly traded corporation or certificates of partnership of any
				limited partnership which is listed on a regulated stock exchange or automated
				quotation system;
(F) "Direct
				regulatory authority" shall be defined as any role in the enforcement of the
				Riverboat Gambling Act and the regulations promulgated thereunder;
(G) "Employ" shall be defined as any of the
				following:
1. Hiring a person as an
				employee;
2. Engaging the services
				of a person with knowledge or reason to believe that the person's employer
				provides consideration to the person that is derived from or contingent upon
				consideration paid to that employer for the services provided; or
3. Engaging the services of an entity
				controlled by a person with knowledge or reason to believe that the person will
				receive consideration that is derived from or contingent upon consideration
				paid to the entity for the services provided, in which case the controlling
				person is "employed";
(H)
				"Ex parte communication" shall be defined as direct or indirect communication
				by any holder of or applicant for a Class A, Class B, or Supplier license, or
				any representative or agent of such license holder or applicant, with any
				commission member regarding any matters under the jurisdiction of the
				commission related to the respective holder of or applicant for a Class A,
				Class B, or Supplier license, unless such communications take place during an
				official commission or commission committee meeting, or, if written, are
				provided to all other commission members within five (5) days of the initial
				communication and prior to any commission action on the matter. The following
				shall not be defined as ex parte
				communication:
1. Any written communication
				addressed and sent to all commission members;
2. Any communication taking place at a
				meeting of a governmental entity subject to the Missouri Open Meetings Act,
				including but not limited to meetings of the commission or any committee of the
				commission;
3. Any communication
				with employees or agents of the commission who are not commission members,
				including any such communication that may also involve a commission member as a
				participant, provided that, if a commission member does participate in such
				communication, this exemption shall apply only if the holder of or applicant
				for a Class A, Class B, or Supplier license summarizes, reduces to writing, and
				distributes such writing, to all commission members within five (5) days of the
				communication and prior to any commission action on the matter; and
4. Any communication between a commission
				member and a government
				official;
(I) "Government
				official" shall be defined as any of the following:
1. A commission representative;
2. A member of the General Assembly;
				or
3. An elected official or an
				appointed official of the state of Missouri or of any Missouri city or county
				in which the licensing of excursion gambling boats has been approved in either
				the city or county or both;
(J) "Parent company" shall be defined as a
				holding company defined in
				11 CSR
				45-10.040 or as any other entity which, directly or
				indirectly through one or more intermediaries, possesses the power to direct or
				cause the direction of the management and policies of a person, whether through
				the ownership of voting shares, by contract or otherwise; and
(K) "Representative or agent" of a license
				holder or applicant shall be defined as a key person or occupational licensee
				employee of the license holder or applicant or any individual who acts as a
				common law agent on behalf of the license holder or applicant before the
				commission, such as an attorney, accountant or lobbyist.