New Jersey Administrative Code › Title 13 - LAW AND PUBLIC SAFETY › Chapter 69C - CASINO LICENSEES › Subchapter 8 - CONTINUING OBLIGATIONS OF CASINO LICENSEES AND QUALIFIERS › Section 13:69C-8.8 - Compliance system

Current through Register Vol. 56, No. 14, July 15, 2024
(a) The
				following words and terms, when used in this subchapter, shall have the
				following meanings, unless the context clearly indicates otherwise:
"Affiliate" is defined in
				  13:69-1.2.
"Compliance committee" means a group of natural persons who
				  are responsible for the review and evaluation of the conduct of the casino
				  licensee, its holding companies and affiliates in accordance with an approved
				  compliance review and reporting system and this section.
"Compliance officer" means the individual who is responsible
				  for the daily operations of the approved compliance review and reporting system
				  in accordance with this section.
"Compliance review and reporting system" means a written plan
				  to be implemented by each casino licensee or a holding company thereof in
				  accordance with this subchapter, for purposes of ensuring the good character,
				  honesty and integrity of the casino licensee, its holding companies, affiliates
				  and employees in accordance with the Act.
"Executive employee" means an employee who by reason of his
				  or her management or policy-making position exercises authority, discretion or
				  influence over decisions concerning the operations of the company, whether or
				  not such individual is required to be qualified by the Commission.
"Gaming authority" shall mean the applicable gaming board,
				  commission, or other governmental gaming regulatory authority, body or agency
				  of any state of the United States that has an established system of regulation
				  of casino gaming activities and responsible for interpreting, administering and
				  enforcing gaming laws.
"Gaming laws" shall mean all applicable constitutions,
				  treatises, laws and statutes pursuant to which any gaming authority possesses
				  regulatory, licensing or permitting authority over gaming, gambling or casino
				  or casino-related activities and all rules, rulings, orders, ordinances and
				  regulations of any gaming authority applicable to the gambling, casino, gaming
				  businesses or casino or casino-related activities of a casino licensee, or any
				  of its subsidiaries or affiliates, in any jurisdiction.
"Public official" with respect to New Jersey means any
				  "person" as defined in N.J.S.A. 5:12-102n. With respect to other jurisdictions,
				  "public official" means the governor and lieutenant governor of a state and
				  their chief counsels and chiefs of staff; members of the legislative and
				  judicial branches of state government; any person holding a position or
				  employment as head of any department, division, board, bureau, office,
				  commission or other instrumentality of the executive, legislative or judicial
				  branches of state government; any person holding any position or employment in
				  state government or any independent state authority, commission, agency or
				  instrumentality with responsibility for matters affecting any casino activity
				  or proposed casino activity except clerical and non-professional employees; any
				  member of the governing body, or a judge, or an attorney of a municipality or
				  county, or an equivalent political subdivision, wherein a casino is located or
				  may become located; and, any member of or attorney or planner or engineer for
				  or consultant to any planning board or other land-use instrumentality wherein a
				  casino is located or may become located.
(b) Each casino licensee or a holding company
				thereof shall implement a compliance review and reporting system for the casino
				licensee, its holding companies and affiliates in accordance with a written
				plan that meets the requirements of this subchapter.
(c) The compliance review and reporting
				system shall, at a minimum, establish standards and procedures for the
				following:
1. The monitoring of policies,
				procedures, material transactions and proposed transactions for purposes of
				avoiding impropriety or the appearance thereof;
2. Ensuring compliance with all applicable
				Federal, State and local laws and regulatory requirements;
3. Protecting against unethical or unlawful
				behavior by employees;
4. The
				conduct of due diligence reviews and investigations of the following:
i. Corporate officers, directors and
				executive employees or their non-corporate equivalents except if the person is
				currently licensed or qualified by a public agency pursuant to standards
				essentially equivalent to those in the Casino Control Act,
				5:12-1 et seq.; and
ii. All entities and individuals including,
				but not limited to, consultants, having any material association or proposed
				association with efforts by the company to pursue gaming opportunities in any
				jurisdiction not having a distinct system which regulates such activity;
				and
5. Requiring prior
				compliance committee approval or prior compliance officer approval with prompt
				notice to the compliance committee in such instances, and prompt notice to the
				Division, of all payments to, business associations with, or provision of
				services, gifts or any thing of value to or on behalf of any public official of
				a jurisdiction in which the casino licensee, its holding companies or
				affiliates conducts gaming or new development or ballot initiative activities.
				For purposes of this subchapter, "thing of value" shall not include any service
				or item offered to the general public at the usual rate; complimentaries based
				on gaming activity; lawful political contributions; plaques, certificates or
				other ceremonial items; and, other services or items the aggregate value of
				which does not exceed $ 1,000 annually.