SES Policy on the Third Party User Functionality

The State Examination System (SES) offers enrolled companies the opportunity, if feasible, to receive external assistance during an examination or investigation (i.e., Supervisory Activity or SA) through its Third Party User functionality (or “TPU functionality").

This policy establishes the use of this functionality, its restrictions, limitations, and company management requirements.

Intended Use of the Functionality

Company users are required to use this functionality if they determine they need assistance from a trusted third party (e.g., outside counsel) with an examination or investigation in the system.

This functionality prevents the user that is providing external assistance from viewing in SES anything other than the specific SA(s) to which they were assigned by the company.

Prohibited Practices

Third parties are prohibited from seeing information in the system other than the information specific to the SA(s) to which they were assigned by the company.

Companies are required to use the TPU functionality for any external assistance with an exam or investigation in SES. Under no circumstances may the company add any participant(s) other than its own company employees as a “company user”. Such practice is in direct violation of this policy.

Any state agency supervising the company in SES reserves the right to prohibit the use of the TPU functionality for any of its examinations or investigations. Companies must work with their state regulator directly to handle any regulatory matters or issues during the SA, including the type of participants in an examination or investigation.

The TPU functionality is unavailable in SES Consumer Complaints. Companies are prohibited from using any external assistance to handle their consumer complaints in the system.

Management Requirements

Companies in the system are expected to regularly monitor their users in SES, including those under the TPU functionality, to make sure they are current, and in compliance with this policy.