Agency Guidelines to Enroll New Companies in SES

State agency users are responsible for notifying licensed companies about their plans to conduct examinations and other supervisory activities in SES. The information on this page assists state agencies with the initial communications to industry about SES.

Important: State agencies are strongly encouraged to communicate with new companies about SES in advance of an upcoming examination, before sharing a consumer complaint with the company in the system, and to take full advantage of the resources on this page.

General Best Practices and Enrollment Checklist

  • General Best practice 1. Determine which industry segment(s) you plan to examine in SES and send an industry-wide communication informing your licensed companies of these plans. CSBS has a template you may use for this communication (refer to the menu below). Note that this template may also be used to communicate about your agency’s plans to route consumer complaints to the company using SES (if applicable).
  • General Best practice 2. Once you have sent the industry-wide communication about SES, continue to notify each company about an upcoming exam in SES, or about a consumer complaint, in your usual manner. While SES will send a notification about the system and sign-on instructions when the company enrollment is initiated, the recipient may miss this notification or not know what it means.

    It is critical that the SES email is received and acted on, so we recommend notifying all companies in advance of an examination or in advance of a complaint in the system.

    Note: This does not mean sending the company the agency’s standard examination letter with the information requests.

    This step will be handled in SES through the Information Request function. The general best practice above refers only to any advance notice, phone call, or email you would typically send to a company contact in advance of an examination or before sharing a consumer complaint with the company in SES.

Table 1. Enrollment ChecklistThe following checklist provides the suggested steps to take to enroll new companies in SES.
□ Step 1.

Identify in SES the industry types that will be subject to examination (or other supervisory activity) in SES (e.g., mortgage, MSB, consumer finance, debt). This can be done by either using the “Initiate a Supervisory Activity” function in SES or by using the “Exam Scheduling” feature in SES.

Use the industry-wide notification template to inform the companies within the industry about SES. This template can be tailored for examinations, investigations, and/or consumer complaints.

□ Step 2. Communicate with the specific company that will be subject to an examination by your agency in SES priorto enrolling the company in SES (i.e., before clicking on the “Company User Enrollment” button in SES). We recommend that you also provide enough advance notice to the company subject of a consumer complaint in the system about SES.
□ Step 3. When communicating with the company about the upcoming examination or complaint in SES, share with the company the resources outlined in Step 4 A and B below. These resources will help the company to learn more about SES and be prepared to receive the initial system notification that is automatically generated with the enrollment function in the system.
□ Step 3 A.
  • Company Specific Notification Template (refer to the menu below). This template can be tailored by your agency and holds important information for the company about SES; training resources; list of URLs that must be whitelisted.
□ Step 3 B.
  • SES Company Enrollment Policy (refer to the menu below). Outlines how to go about the enrollment process in the system.
□ Step 4. Click on the “Company User Enrollment” button in SES to invite the company to join SES. This will generate an email that will be automatically sent to the company with information on how to access the system and create SES user accounts.

Resources List