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This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and universities.

Chapter 3772-4 | Casino Operator, Management Company, and Holding Company Licenses

 
 
 
Rule
Rule 3772-4-01 | Instructions for the casino operator, management company, and holding company license application.
 

The following instructions apply to the application for a license as a casino operator, management company, or holding company:

(A) An applicant that desires to conduct or participate in the conduct of casino gaming must apply for a license in accordance with Chapter 3772. of the Revised Code, including submission of a complete application in the manner and to the location prescribed by the commission.

(B) Applicants for a license are seeking a privilege.

(C) The burden of proving qualifications to receive such a license is at all times borne by the applicant.

(D) The applicant must accept any risk of adverse public notice, embarrassment, criticism, or other action, or financial loss, which may result from action or inaction by the commission with respect to any application, and the applicant expressly waives any claim for damages as a result thereof.

(E) The applicant must sign and accept any and all conditions set forth by the commission.

(F) The commission may request additional information not prescribed in the application form. The applicant must provide all information, documents, materials, and certifications, either required by the application or subsequently requested, at the applicants sole expense and cost.

(G) The applicant is under a continuing duty to promptly disclose any changes in the information provided in the application and requested materials submitted to the commission. The duty to make such disclosures continues throughout any period of the license that is granted by the commission.

(H) All answers and responses must be legible; illegible answers may be grounds for denying the application.

(I) If additional pages are required in order to answer any question, additional pages may be used and must be attached to the application form. Be sure to indicate the number(s) of the question(s) being answered and initial and date each additional page. Some schedules may require disclosure of information for more than one individual or entity or type of information. If there are multiple disclosures, the applicant must complete the schedule for each individual or entity. Each person required to submit a criminal background check must complete and return an authorization to release criminal record form, exhibit 18a.

(J) All notices regarding the application will be sent to the address the applicant provides on the application form. The applicant must promptly notify the commission of any change of address.

(K) Failure to answer any question completely or truthfully may result in administrative action, including rejection or denial of the application or revocation of the license.

(L) If a thorough and complete response to any question cannot be provided at the time of application submission, an applicant must indicate the reason and indicate a date by which a thorough and complete response will be provided.

(M) An applicant should clearly identify those portions of the application that it deems to be confidential, proprietary commercial information or trade secrets. Applications are open to public inspection to the extent permitted by Ohio's Public Records Act and section 3772.16 of the Revised Code.

(N) The applicant must answer every question completely and not leave blank spaces. If a question does not apply to the applicant, the applicant must write "does not apply" in response to that question. If an exhibit or addendum does not apply to the applicant, the applicant must write "does not apply" on the exhibit or addendum.

(O) Appendices are to be provided by the applicant. The required appendices are listed on the application checklist.

(P) A license expires three years after the date of licensure. A complete renewal application must be filed not less than one hundred eighty days prior to the expiration of the license.

Last updated August 2, 2021 at 10:33 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.11
Amplifies: 149.43, 3772.07, 3772.09, 3772.10, 3772.11, 3772.111, 3772.15, 3772.16, 3772.18
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012
Rule 3772-4-02 | Information that must be provided.
 

(A) The applicant must provide all materials required by section 3772.11 of the Revised Code.

(B) The applicant must provide the location where it is requesting to conduct casino gaming and proof that it is the property owner or is authorized by the property owner to operate casino gaming at the designated location.

(C) The applicant must provide its organization documents, including its other names and addresses, all businesses operated by the applicant, all holding companies, intermediaries, subsidiaries, affiliates or other business type entities, and any other states where the applicant conducts business.

(D) The applicant must provide the names and addresses of all current principals associated with the applicant.

(E) The applicant must provide information concerning the compensation of current principals. The applicant must further provide compensation information for all employees who earn over one hundred and fifty thousand dollars.

(F) The applicant must provide a description of its bonus, profit sharing, pension, retirement, deferred compensation, and any other similar plans.

(G) The applicant must provide all stock information requested in the application.

(H) The applicant must disclose the ownership interests of current partners of the applicant.

(I) The applicant must list the holder(s) and describe the nature of any long term debt. Long term debt means debt that matures more than one year from the date of issuance or which, by its terms, is renewable for a period of more than one year from the date of issuance.

(J) The applicant must list the holder(s) of and describe the nature, type, terms, conditions and covenants of all outstanding loans, mortgages, trust deeds, pledges, lines of credit, or other evidence of indebtedness or security interests, other than those described previously, utilized by the applicant and any holding companies, intermediary subsidiaries, affiliates, and any other similar business entities of the applicant.

(K) The applicant must provide a detailed description of any options existing or to be created with respect to securities issued by the applicant, including the title and amount of securities subject to option; the year or years during which the options were or will be granted; the conditions under which the options were or will be granted; the consideration for granting the option; the year or years during which and the terms under which optionees became or will become entitled to exercise the options; and when such options expire.

(L) The applicant must provide information concerning the beneficial owners of security options.

(M) The applicant must provide information with respect to each bank, savings and loan association, or other financial institution, whether domestic or foreign, in which the applicant has an account regardless of whether such account is held in the name of the applicant, a nominee of the applicant, or is otherwise under the direct or indirect control of the applicant.

(N) The applicant must provide information with respect to all contracts, agreements, and management agreements, written or oral, that the applicant has entered into or intends to enter into related to its casino facility. This includes all contracts or agreements of one hundred thousand dollars or more in value or from whom the corporation has received one hundred thousand dollars or more in goods or services in the last twelve months. All management agreements, regardless of compensation level, must be provided.

(O) The applicant must provide information for each change that occurred within the last three years, in the beneficial ownership of the equity securities of the applicant on the part of any person who is indirectly or directly a beneficial owner of more than five per cent of any class of an equity security of the applicant or who is or was within that period a director or officer of the corporation. The applicant must include changes resulting from (1) gift; (2) purchase; (3) sale; (4) exercise of an option to purchase; (5) exercise of an option to sell; (6) grant or receipt of a put; or (7) grant or receipt of a call.

(P) The applicant must provide information about any offenses or charges the applicant may have committed or had filed against them.

(Q) The applicant must provide information regarding whether the applicant has ever been called to testify before, been the subject of an investigation conducted by, or requested to take a polygraph exam by any governmental agency, court, committee, grand jury, or investigatory body (municipal, state, county, provincial, federal, national, etc.) other than in response to minor misdemeanor traffic offenses.

(R) The applicant must describe all existing litigation and any settled or closed legal action over the last three years in which the applicant is or was a party, whether in this state or in another jurisdiction. This description must include the title and docket number of the litigation, the name and location of the court before which it is pending, the identity of all parties to the litigation, the general nature of all claims being made and the nature of any judgments or court dispositions. The applicant must list most recent litigation first.

(S) The applicant must provide all information regarding a judgment, order, consent decree, or consent order pertaining to a violation or alleged violation of the federal antitrust, trade regulation or securities laws, or similar laws of any state, province or country entered against it.

(T) The applicant must provide the following information regarding any application filed by the applicant in any jurisdiction for a license, permit, or other authorization to participate in lawful gambling operations within the last three year period:

(1) The type of license, permit, or authorization;

(2) The name and location of the governmental agency from which the license, permit, or authorization was sought;

(3) The application number;

(4) Whether the license, permit, or other authorization was issued or denied and the date of disposition;

(5) If a license, permit, or authorization was denied, the reasons for denial;

(6) If a license, permit, or authorization was issued, the license, permit, or authorization number, current status, and location of each licensed, permitted or authorized facility;

(7) If a license, permit, or authorization was issued, whether it was subsequently revoked or suspended and the reasons for revocation or suspension; and

(8) If a license, permit, or authorization was issued, whether the holder of such license, permit, or authorization was fined, penalized, or otherwise sanctioned and the reasons and circumstances for such fine, penalization, or sanction.

(U) The applicant must provide all information regarding bribes or kick backs made or alleged to have been made by or on behalf of the applicant during the last three years. The applicant must also provide any bank accounts not reflected on its books and records regarding contributions, disbursements, and accounts.

(V) The applicant must submit any documents relating to any oral or written agreements entered on behalf of the applicant and any governmental entity or subdivision thereof in Ohio.

(W) An initial or new applicant must provide a description of any proposed casino gaming operation at a casino facility, including:

(1) Detailed operational plans, including responsible gambling, employment, background checks, and training;

(2) A facility plan with a drawing of the facility;

(3) Estimated start-up costs and proposed capitalization, including the cost of casino construction through which an initial applicant must demonstrate proposed compliance with the investment requirements set forth in section 3772.27 of the Revised Code; and

(4) The expected date for successful completion of the facility.

Last updated August 2, 2021 at 10:33 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.11
Amplifies: 3772.07, 3772.10, 3772.11, 3772.111, 3772.15, 3772.18, 3772.27
Five Year Review Date: 8/2/2026
Prior Effective Dates: 10/1/2016
Rule 3772-4-03 | Application fees.
 

(A) Except as provided in division (C) of section 3772.17 of the Revised Code, an applicant for an initial or new casino operator, management company, or holding company license must pay a nonrefundable application fee of one million five hundred thousand dollars for each application.

(B) Except as provided in division (C) of section 3772.17 of the Revised Code, an applicant for a renewal casino operator, management company, or holding company license must pay a nonrefundable application fee of five hundred thousand dollars for each application.

(C) The application fee for a casino operator, management company, or holding company license may be increased to the extent that the cost of the investigation and review relating to an applicant exceeds the application fee set forth in paragraphs (A) and (B) of this rule. The executive director will advise the applicant in writing that an additional application fee is required. Once an applicant is directed to submit an additional application fee, the commission will not issue a casino operator, management company, or holding company license until the increased application fee is paid in accordance with paragraph (D) of this rule.

(D) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated August 2, 2021 at 10:33 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.15
Amplifies: 3772.03, 3772.15, 3772.17
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012
Rule 3772-4-04 | License fees.
 

(A) Upon a determination by the commission at a meeting held under section 3772.02 of the Revised Code that an applicant for an initial casino operator license is eligible to be issued a license, the applicant must pay an upfront, nonrefundable license fee of fifty million dollars for each casino facility.

(B) Except as provided in division (B) of section 3772.17 of the Revised Code, upon a determination by the commission at a meeting held under section 3772.02 of the Revised Code that an applicant for a new or renewal casino operator, management company, or holding company license is eligible to be issued a license, the applicant must pay a nonrefundable license fee of one million five hundred thousand dollars for each casino facility.

(C) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated August 2, 2021 at 10:34 AM

Supplemental Information

Authorized By: 3772.03
Amplifies: 3772.03, 3772.15, 3772.17
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012
Rule 3772-4-05 | Affirmative license standards.
 

(A) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the applicant's suitability for licensure.

(B) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the suitability of all holding companies.

(C) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the qualification and suitability of individuals holding the following or equivalent positions:

(1) Chief executive officer;

(2) Chief operating officer;

(3) Chief financial officer;

(4) Controller;

(5) Principal accounting officer;

(6) General counsel or chief legal officer;

(7) Chief compliance officer;

(8) Director of the applicant or its holdings companies;

(9) Member or partner;

(10) General manager of the casino facility; and

(11) Any other office or position that, as determined by the commission, exercises significant influence over the operations of the applicant or its holding companies.

(D) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the suitability of any other individual who holds more than five percent ownership interest in the applicant, who exercises significant influence over the casino operations in this state, who directly or indirectly controls the applicant, or any other individual identified by the commission.

(E) In determining whether to grant, maintain, or renew a casino operator, management company, or holding company license, the commission will evaluate and consider the following factors in addition to those set forth in Chapter 3772. of the Revised Code:

(1) The reputation and business experience of the applicant and its holding companies;

(2) Whether the applicant and its holding companies possess good character, honesty, and integrity;

(3) Whether the applicant and its holding companies possess financial stability, integrity, and responsibility;

(4) The ability of the applicant to obtain and maintain adequate insurance coverage as required by rule 3772-7-01 of the Administrative Code;

(5) The ability of the applicant for a casino operator license to post and maintain a surety bond in the amount of one million dollars in accordance with the requirements in section 3772.112 of the Revised Code;

(6) The compliance history of the applicant, its holding companies, and its affiliates or affiliated companies with casino-related licensing requirements in this state or any other jurisdiction;

(7) The criminal history of the applicant and its holding companies in any jurisdiction;

(8) Whether and to what extent the applicant or its holding companies have associated with members of organized crime and other persons of disreputable character;

(9) Whether the applicant or its holding companies have filed or had filed against it a proceeding for bankruptcy or have ever been involved in any formal process to adjust, defer, suspend, or otherwise resolve the payment of any debt;

(10) Whether the applicant or its holding companies have been served with a complaint or other notice filed with any public body regarding a payment of any tax required under federal, state, or local law that has been delinquent for one or more years;

(11) Whether the applicant or its holding companies have been a defendant in litigation involving its business practices;

(12) The extent to which the applicant or its holding companies have cooperated with the commission in connection with the background investigation;

(13) The extent to which the applicant or its holding companies have provided accurate and complete information in the application;

(14) The suitability of the facilities or proposed facilities for the conducting of casino gaming;

(15) The prospective total revenue to be collected by the state for the conducting of casino gaming; and

(16) Whether awarding the license would undermine the public's confidence in the casino gaming industry in this state.

Last updated August 2, 2021 at 10:34 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.07, 3772.10, 3772.11, 3772.111, 3772.112
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012
Rule 3772-4-06 | Duty to update information.
 

(A) All casino operators, management companies, and holding companies must submit to the commission, in writing, the following information:

(1) Name changes;

(2) Changes to the state of incorporation or principal place of business;

(3) Changes regarding any individual required to be found suitable under rule 3772-4-05 of the Administrative Code;

(4) Changes regarding shareholders who hold greater than five per cent ownership interest;

(5) Any bankruptcy filed;

(6) Any arrest, charge, plea, or conviction relating to a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code for any crime or offense occurring in any jurisdiction, excluding minor misdemeanor traffic offenses;

(7) Any inquiry into, investigation of, or action filed against a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code by any gaming regulatory agency or authority, or other governmental agency or authority, except for routine renewal application reviews;

(8) Any rejection, suspension, revocation, or denial of any gaming-related application or license, and any fine, penalty, or settled amount relating to any gaming-related license imposed upon or agreed to by a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code in any jurisdiction; and

(9) Any other information that would affect a casino operator's, management company's, or holding company's suitability to obtain and maintain a license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(B) Each casino operator, management company, and holding company must notify the commission of any key employee or casino gaming employee licensee whose employment has been terminated or suspended for any reason, by the casino operator, management company, or holding company.

(C) All information required to be submitted under this rule must include the name and license number, if applicable, of the casino operator, management company, or holding company and be submitted within ten calendar days of the change or occurrence of the event.

Last updated August 2, 2021 at 10:34 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.10
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012, 2/23/2013