§ 4002 — Fingerprints

New York § 4002

• Jurisdiction: New York
• Law BNK: Banking
• Title 4: Formation of Corporations
• Art. 15: General Provisions Applicable to Banking Stock Corporations, Limited Liability Investment Companies, and Limited Liability Trust Companies

Text

§ 4002. Fingerprints. (a) Notwithstanding any other provisions of law,\nevery incorporator of a corporation shall, in addition to any other\nrequirements which may be imposed by the superintendent, submit\nsimultaneously with an application, his or her fingerprints in such form\nand in such manner as specified by the division of criminal justice\nservices, but in any event, no less than two digit imprints. Every\napplicant filing an application to acquire control of any banking\ninstitution under sections one hundred forty-three-a and one hundred\nforty-three-b of this chapter shall, in addition to any other\nrequirements which may be imposed by the superintendent, submit\nsimultaneously with an application, his or her fingerprints in such form\nand in such manner as specified by the division of criminal justice\nservices, but in any event, no less than two digit imprints. The\nsuperintendent shall submit the fingerprints to the division of criminal\njustice services for the purpose of conducting a criminal history search\nand returning a report thereon in accordance with the procedures and\nrequirements established by the division pursuant to the provisions of\narticle thirty-five of the executive law, which shall include the\npayment of the prescribed processing fees. The superintendent shall\nrequest that the division submit such fingerprints to the federal bureau\nof investigation, together with the processing fees prescribed by such\nbureau, for the purpose of conducting a criminal history search and\nreturning a report thereon.\n (b) The superintendent shall also, concurrent with an investigation of\nan incorporator of a corporation pertaining to a violation of this\nchapter, submit such fingerprints to the division of criminal justice\nservices for the purpose of conducting a criminal history search and\nreturning a report thereon and through the division to the federal\nbureau of investigation for the purpose of a fingerprint check of such\nincorporator.\n (c) For purposes of this section, "incorporator" shall include a\nnatural person or such principal, officer, director, trustee or\nstockholder of any other entity as may be designated by the\nsuperintendent. Notwithstanding any other provision of this article,\nthe superintendent shall not access criminal history data or\ninformation, unless any agency from which the superintendent receives\ndirectly criminal history data or information has entered into a use and\ndissemination agreement with the superintendent consistent with the\nprovisions of this section.\n (d) An applicant shall not be required to submit his or her\nfingerprints as required by subdivision (a) of this section if such\napplicant (i) is already subject to regulation by the department and the\napplicant has submitted such fingerprints to the department, such\nfingerprints have been submitted to the division of criminal justice\nservices for the purpose of conducting a criminal history search, and a\nreport of such search has been received by the department from such\ndivision; or (ii) is subject to regulation by a federal bank regulatory\nagency and has submitted such fingerprints to such agency which has had\na criminal history search conducted of such individual and has shared\nsuch information or its determination resulting from such search with\nthe department; or (iii) is an officer or stockholder of a corporation\nwhose common or preferred stock is registered on a national securities\nexchange, as provided in an act of congress of the United States\nentitled the "Securities Exchange Act of 1934", approved June sixth,\nnineteen hundred thirty-four, as amended, or such other exchange or\nmarket system as the superintendent shall approve by regulation, and has\nsubmitted such fingerprints to such exchange or market system which has\nhad a criminal history search conducted of such individual and has\nshared such information or its determination resulting from such search\nwith the department; provided, however, that the superintendent may\nsubsequently require such applicant to submit sets of fingerprints if\nthe superintendent has a reasonable basis for updating the information\nor determination resulting from the report of the criminal history\nsearch conducted at the request of such federal banking agency, exchange\nor market system.\n