Md. Code Regs. 36.10.02.04

Current through Register Vol. 51, No. 24, December 2, 2024

Section 36.10.02.04 - Personal and Background Information

A. Except as otherwise provided in the Commission's regulations, the application documents shall include the information required under §B of this regulation, for a person who is:

(1) The applicant;

(2) A director, officer, or key management individual employed by the applicant;

(3) A partner of the applicant;

(4) Any other person who owns, controls, or directs a legal or beneficial interest of 5 percent or more in the applicant;

(5) A principal;

(6) A principal employee;

(7) A principal entity;

(8) A holding company of the applicant; or

(9) An affiliate of the applicant.

B. An individual listed under §A of this regulation shall furnish the individual's:

(1) Full name and any previous names or aliases;

(2) Date of birth;

(3) Physical description;

(4) Home and business addresses and telephone numbers;

(5) Driver's license number and state of issuance;

(6) Social Security number;

(7) Photograph in a type and size required by the Commission;

(8) Fingerprints for a criminal records check:

(a) For a State resident, from an electronic fingerprinting service approved by the Commission; or

(b) For an out-of-State resident, one FBI and one State fingerprint card, taken within the previous 45 days before submission to the Commission; and

(9) Any other document or information required by the Commission.

C. A person listed under §A of this regulation that is not an individual shall furnish, with its application documents:

(1) Pursuant to any applicable requirements of the Maryland State Department of Assessment and Taxation, evidence that the person is in good standing to conduct business in the State;

(2) For a corporation, documentation showing the:

(a) State in which the applicant is incorporated; and

(b) Name and address of the applicant's resident agent for service of process in Maryland; and

(3) For a nonprofit corporation, only the information required under §B of this regulation for an individual who is a director or officer of the applicant.

D. A licensee who has notified the Commission of an intended change in employment status shall provide the information as set forth in §B of this regulation.

E. The Commission may require an applicant to furnish the information listed in §B of this regulation for the applicant's family and associates.

F. Inadvertent, nonsubstantive errors that might be made in furnishing the information required by this regulation may not be used as a reason by the Commission for disqualifying the applicant.

Md. Code Regs. 36.10.02.04

Amended effective 49:1 Md. R.16, eff. 1/13/2022