Compliance Review And Reporting System

Compliance Review And Reporting System. (a) Whenever the Commission is acting upon any application of a licensee or registrant, or pursuant to its powers provided in Miss. Code Ann. §75-76-103, and if the Commission determines that circumstances exist which require additional management review by a licensee or registrant, the Commission may impose a condition upon any license or order of registration to require implementation of a compliance review and reporting system by the licensee or registrant. (b) The terms of the condition may include, but shall not be limited to: 1. That the condition shall expire on a certain date or after a designated period of time without commission action; 2. That the condition may be administratively removed by the Executive Director should a specified activity cease or a specified event occur; or That a periodic review shall be conducted by the Executive Director and upon such review the Executive Director may recommend and the Commission may remove or continue to require the condition. (c) Notwithstanding the provision of paragraph (b) above, upon application, a licensee or registrant may request modification or removal of the condition imposed and the Commission may, after considering the recommendation of the Executive Director, modify or remove the condition. (d) The compliance review and reporting system shall be created for the purpose of monitoring activities relating to the licensee’s or registrant’s continuing qualifications under the provisions of the Act and regulations of the Commission in accordance with a written plan to be approved by the Executive Director administratively or as otherwise ordered by the Commission. (e) The written plan must provide for the operation of the compliance review and reporting system and must designate who shall be responsible for said system. The plan must provide for involvement of at least one person knowledgeable of the provisions of the Act and the regulations of the Commission. The plan must require periodic reports to senior management of the licensee or registrant. Such reports shall be advisory and the licensee or registrant shall maintain responsibility for compliance with the Act and regulations of the Commission. Copies of the reports must be provided to the Commission. (f) The activities to be monitored must be set forth in the written plan and must be determined by the circumstances applicable to the licensee or registrant. Without limitation, the activities that may be required to be monitored pursuant to the compliance review and reporting system include the following: 1. Associations with persons denied licensing or other related approvals by the Commission or who may be deemed to be unsuitable to be associated with a licensee or registrant; 2. Business practices or procedures that may constitute grounds for denial of a gaming license or registration; 3. Compliance with other special conditions that may be imposed by the Commission upon the licensee or registrant; 4. Review of reports submitted pursuant to the Act and regulations of the Commission; 5. Compliance with the laws, regulations, or orders of duly constituted governmental agencies or entities having jurisdiction over the gaming affairs, or such other business activities which the 6. Executive Director or the Commission may deem necessary or proper, of the licensee, the registrant, or its affiliates; and Review of such other activities determined by the Commission as being relevant to the licensee’s or registrant’s continuing qualifications under the provisions of the Act and the regulations of the Commission. (Adopted: 09/25/1991; Amended: 08/18/1994; Amended: 10/22/1998; Amended: 11/19/1998; Amended: 01/21/1999; Amended: 11/18/1999; Amended: 01/18/2001; Amended: 07/23/2003; Amended: 10/27/2005; Amended: 02/23/2006.)