Post-Licensing Report Submission Requirements

Rule 1350-03-.04(2)(c)7. Monthly Submit via Kaseware Licensee Portal (Appropriate Entry=Compliance; Which Form?=SWC Technical Incident Reporting) and Mary.Beth.Thomas@tn.gov Rule 1350-03-.04(2)(d)4. <a href="mailto:SWAC.Tech@tn.gov" target="_blank">SWAC.Tech@tn.gov</a> Submit via Kaseware Licensee Portal (If previously reported, provide additional information by selecting Appropriate Entry=More Information Required. If newly identified Suspicious Wagering Activity, Appropriate Entry=Suspicious Activity Reporting) and Mary.Beth.Thomas@tn.gov Report any discrepancies in date and time display in Sports Gaming System Pursuant to the change management provisions in Rule 1350-03-.02, by submitting the change management log to the Executive Director or designee on the 15th day following the close of each calendar quarter Submit amendments to House Rules for approval Licensee shall provide electronic copies of all advertising, marketing, and promotional materials developed by a Licensee or by a Vendor on behalf of the Licensee. Rule 1350-03-.13 Not less than 10 days prior to proposed implementation Within 5 business days following their publication, distribution, or airing to the public Licensees and Vendors may also submit advertising, marketing, and promotional materials in advance of publication, distribution, or airing to the public Any amendments to Responsible Gaming Plan for approval No less than once per week At least 48 hours in advance of publication, distribution, or airing to the public Report all incidents related to information systems security, which may compromise confidentiality, integrity, or availability of Sports Gaming System, or involving Player PII Submit change management log listing changes to Sports Gaming System Submit via Kaseware Licensee Portal (For 1., Appropriate Entry=Compliance; Which Form?=Criminal or Disciplinary Proceedings of Investigations Reporting Form. For 2.-6., Appropriate Entry=Suspicious Activity Reporting) and Mary.Beth.Thomas@tn.gov; also report to relevant sports governing body and provide written notice of same to Mary.Beth.Thomas@tn.gov Rule 1350-01-.07(11)(a) Report (a) The total number of Licensee’s Sports Gaming Accounts created in Tennessee that have passed KYC and been activated as of the date of the report; and (b)The total number of Licensee’s Sports Gaming Accounts created in Tennessee that Licensee suspended at any time for any reason during the prior month (whether or not those Sports Gaming Accounts are still suspended as of the date of the report). If an account is suspended more than once in a month, it should just be counted as one suspension in the report. Provide evidence that geolocation system is updated to latest version every 180 days or provide access to geolocation system (or a dashboard or application utilized by the geolocation system Vendor) so that compliance can be independently verified by the Council Report any information relating to: 1. Criminal or disciplinary proceedings or nonroutine government or law enforcement investigations commenced against Licensee in connection with operations in any jurisdiction; 2. Unusual or Suspicious Wagering Activity, including activities reported to federal government pursuant to AML laws and regulations and Wagers placed to conceal or launder funds derived from illegal activity; 3. Any potential or actual breach of sports governing body's internal rules and code of conduct pertaining to sports wagering that is known or reasonably should have been known to Licensee; 4. Cheating, including wagering activities or patterns that may indicate concern with integrity of Sporting Event; 5. Conduct that corrupts, is intended to corrupt, or unduly influences betting outcome of Sporting Event for purpose of financial gain, including match fixing; and 6. An agent or proxy placing a Wager on behalf of another Person, or the use of false identification Within 10 days AUDITS In accordance with Licensee's approved procedures As requested 72 hours before offering Rule 1350-01-.07(12)(b) Notify if previously reported Unusual Wagering Activity rises to level of Suspicious Wagering Activity or if Licensee identifies Suspicious Wagering Activity Submit via Kaseware Licensee Portal (Appropriate entry=Compliance; Which Form?=SWC General Compliance Incident) and Mary.Beth.Thomas@tn.gov (If necessary) Report on corrective measures taken to avoid recurrence of audit exceptions Submit via Kaseware Licensee Portal (Appropriate Entry=Compliance; Which Form?=Monthly Suspended Accounts Reporting Form) No less than 10 business days prior to their proposed implementation <a href="mailto:Mary.Beth.Thomas@tn.gov" target="_blank">Mary.Beth.Thomas@tn.gov</a> Tenn. Code Ann. § 4-49-117(h) Rule 1350-01-.07(8)(b) Report Unusual or Suspicious Wagering activity Rule 1350-03-.12(14) Simultaneously with or within 10 days of internal audit noncompliance report Daily, weekly, and monthly Tenn. Code Ann. § 4-49-104(c); Rule 1350-01-.07(6) Rule 1350-01-.07(7)(b); Rule 1350-03-.11(3) Provide evidence of update at least every 180 days or provide Council access to system or dashboard Rule 1350-01-.07(11)(a) Rule 1350-01-.07(15) (if necessary) Provide results of investigation and resolutions of material exceptions resulting from internal audit work <a href="mailto:SWAC.Gaming@tn.gov" target="_blank">SWAC.Gaming@tn.gov</a> <a href="mailto:Mary.Beth.Thomas@tn.gov;%20SWAC.Licensing@tn.gov" target="_blank">Mary.Beth.Thomas@tn.gov and SWAC.Licensing@tn.gov</a> Pay privilege tax of 1.85% of Gross Handle; submit report showing Gross Handle, deductions taken in accordance with Rule 1350-01-.07(6)(d), and the total amount of privilege tax owed by the Licensee Report privilege tax calculation over a daily, weekly, and monthly period, in a manner determined by the Council Rule 1350-03-.12(1) Report to Licensee’s management Rule 1350-01-.13(2) Rule 1350-01-.06(8) SYSTEM on the 15th day following the close of each calendar quarter LICENSEE Rule 1350-01-.07(9)(e) Rule 1350-01-.07(14)(a) If reserve is not sufficient to cover calculated requirement for two consecutive business days, notify and indicate steps Licensee has taken to remedy any deficiency Rule 1350-03-.12(20) Submit via Kaseware Licensee Portal (Appropriate Entry=Compliance; Which Form?=SWC Reserve Balance Deficiency Reporting) Rule 1350-03-.08(2) (If necessary) Licensee’s Information Systems Officer or equivalent designee shall report authentication failure Tenn. Code Ann. § 4-49-124(b); Rule 1350-01-.07(13)(b) 45 days before proposed effective date of any changes <a href="mailto:SWAC.Licensing@tn.gov" target="_blank">SWAC.Licensing@tn.gov</a> Petition for approval of new Sporting Event upon which Wagers may be placed or accepted Transfer funds to Council and submit report to SWAC.Accounting@tn.gov Rule 1350-01-.07(9)(d); Rule 1350-03-.06(2) Tenn. Code Ann. § 4-49-115(b) and (c); Rule 1350-01-.03(10)(c); Rule 1350-01-.07(10)(h) Within 3 business days of the change Within 5 business days following their publication, distribution, or airing to the public Rule 1350-03-.04(2)(c)4. Rule 1350-01-.07(12)(a) Rule 1350-01-.07(16)(c) Rule 1350-03-.02(3) Submit via Kaseware Licensee Portal (Appropriate Entry=Suspicious Activity Reporting) and to Licensee’s Integrity Monitoring Provider All changes to its key personnel, including: a statement as to any conflict of interest that may exist; any information relating to name, home address, and date of birth of any new Key Personnel; potential purchase or sale, transfer, assignment, gift or donation, or other disposal or acquisition of 5% or more ownership of Licensee; resignation, termination, removal, or departure of any Key Personnel Report any known violations or incidents of noncompliance with any part of Rules 1350-03-.01 through .13 re: Minimum Internal Controls Rule 1350-01-.07(4) Rule 1350-01-.07(17) Within 10 days of change Notice of proposed change of control upon entering into an oral or written agreement regarding the proposed change of control Any changes to methodology for verifying age of Bettor or any change of any Vendor or provider that provides age verification services <a href="mailto:SWAC.TN@tn.gov" target="_blank">SWAC.TN@tn.gov</a> Report both number of individuals who requested Voluntary Self-Exclusion through the Licensee-Specific Self-Exclusion List and number of individuals Licensee processed from Statewide Self-Exclusion List Rule 1350-03-.04(2)(c)5. (if necessary) Report any material internal audit findings to management within ten days of the finding. Report any non-material internal audit findings to management within ten days of the finding validation. Submit via Kaseware Licensee Portal (Appropriate Entry=Compliance; Which Form?=SWC Rule 1350-03-.08(2) Reporting Form) Any change in status that may disqualify Licensee from holding License Rule 1350-03-.06(6) Submit material changes to Internal Control Standards. Submit a redline when seeking review and approval of material changes to Internal Control Standards and new certifications consistent with Rule 1350-01-.05(3)(d). Submit a clean copy of revised Internal Control Standards after approval. Submit report of any violation or non-compliance with AML compliance program, policies and procedures; AML laws or regulations; any regulatory compliance program, policies and procedures; or any law or regulation governing Licensee in any jurisdiction, including Tennessee. If there is nothing to report, the Licensee does not have to submit such a report. Any changes to methodology for determining whether or not Player is ineligible due to his/her inclusion in one or more classes of Prohibited Participants in the Sports Gaming Act Rule 1350-01-.07(9)(a); Rule 1350-03-.06(1) Submit material changes to Terms and Conditions for approval not less than ten (10) business days prior to their proposed implementation. Submit a redline when seeking review and approval of material changes to Terms and Conditions, and submit a clean copy of revised Terms and Conditions after approval. Notify if suspending or canceling Wagering on Events related to Suspicious Wagering Activity No later than the 5th business day of following month Within 10 days of the resolution of the exception Within 24 hours <a href="mailto:SWAC.Accounting@tn.gov%20%20" target="_blank">SWAC.Accounting@tn.gov </a> Rule 1350-03-.04(2)(c)6. Rule 1350-01-.03(8); Rule 1350-03-.09(2) Provide reports documenting all performed internal audits Vendors who advertise, market, or offer promotions on behalf of more than one Licensee or without affiliation to any Licensee shall provide electronic copies of all advertising, marketing, and promotional materials Within 10 days of completion Record and generate reports on Wagers exceeding $10,000; futures Wagers; Sports Gaming Account activity, including Sports Gaming Account number, transaction, and transaction amount, including deposit amounts withdrawal amounts, winnings and Wagers made; and changes in odds, Wager cutoff times, Event data, or Sporting Event results Rule 1350-01-.07(1)(d) Upon request Within 48 hours of knowledge Provide list of individuals who have requested placement on the Licensee-Specific Self-Exclusion List (even if the list contains zero individuals)