Imposition of sanctions standards

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  • In considering appropriate sanctions in a particular case, the Commission shall consider:
    • (a) The risk to the public and to the integrity of gaming operations created by the conduct of the licensee or registrant;

    • (b) The seriousness of the conduct of the licensee or registrant, and whether the conduct was purposeful and with knowledge that it was in contravention of the provisions of this chapter or regulations promulgated hereunder;

    • (c) Any justification or excuse for such conduct by the licensee or registrant;

    • (d) The prior history of the particular licensee or registrant involved with respect to gaming activity;

    • (e) The corrective action taken by the licensee or registrant to prevent future misconduct of a like nature from occurring; and

    • (f) In the case of a monetary penalty, the amount of the penalty in relation to the severity of the misconduct and the financial means of the licensee or registrant. The Commission may impose any schedule or terms of payment of such penalty as it may deem appropriate.

    • (g) It shall be no defense to disciplinary action before the Commission that an applicant, licensee, registrant, intermediary company, or holding company inadvertently, unintentionally, or unknowingly violated a provision of this chapter. Such factors shall only go to the degree of the penalty to be imposed by the Commission, and not to a finding of a violation itself.


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