Home
Supervisory Activities
Supervisory activities are used for examining and investigating companies.
SES Examinations and Investigations Resources for Agencies
How to initiate and manage examinations and investigations of supervised companies.
Conducting a Supervisory Activity
A Supervisory Activity is an activity conducted by a state agency over a financial institution under its regulatory authority. It includes Examination, Investigation, and enforcement actions.
Closing Out a Supervisory Activity
When a Supervisory Activity is completed, you can close and lock it.
Suspending or Resuming Document Retention for a Supervisory Activity
When closing and locking an exam, you have the option to suspend document retention on the SA. This may be done for legal, investigative hold, or other purposes. Suspension will remain in effect until lifted by your agency. Your agency will receive periodic reminders of all suspended SAs. See the chapter/bizContent/SES_Policy/topics/c_SES_GP_interimDocumentsAndDataRetentionPolicy.html#t_SES_GP_sesDocumentAndDataRetentionAndDispositionSchedule for more information.
Resuming Document Retention
Staff users or staff directors can suspend and resume document retention for a supervisory activity.

Supervisory Activities
Supervisory activities are used for examining and investigating companies.
- SES Examinations and Investigations Resources for Agencies
  How to initiate and manage examinations and investigations of supervised companies.
  - Job Aid: Conducting Your First Exam in SES
    This job aid serves as a guide for new Examiner in Charge (EIC) to conduct their first exam in the State Examination System (SES). It highlights the basic workflow of an exam in SES and points out important information along the way.
  - Managing Supervisory Activities
    This section includes managing the Library, exam scheduling, and participants in a Supervisory Activity. Bulk download of data from supervisory activities is also included.
  - Conducting a Supervisory Activity
    A Supervisory Activity is an activity conducted by a state agency over a financial institution under its regulatory authority. It includes Examination, Investigation, and enforcement actions.
    - Initiating a Supervisory Activity
      The first step in conducting an exam, investigation, or enforcement in SES is to Supervisory Activity on a company.
    - Updating the Basic Details of a Supervisory Activity
      Examiners in Charge (EICs), and Staff Users that are participants on a supervisiry activity (SA) can make updates to the basic details of an examination and save them to the SA.
    - Canceling a Supervisory Activity
      You can cancel a supervisory activity (SA) in SES at any time before the report is sent to the company.
    - Sending a Supervisory Activity for Review
      When initiating a Supervisory Activity in SES, you have the option of sending it for review.
    - Reviewing a Newly-Initiated Supervisory Activity
      The staff director or staff user who initiated a supervisory activity (SA) has the option of sending the SA for review to one or more staff directors before it is scheduled.
    - Milestones and the Supervisory Activity Workflow
      The workflow and its milestones are displayed on the supervisory activity's Summary page. There are seven milestones in total, and there are specific tasks to be completed in that phase of the supervisory activity.
    - Managing the Plan
      The plan informs participants of their responsibilities within the exam. Defining the plan is optional.
    - Managing the Scope
      The scope determines the content that will be reviewed during a supervisory activity, including the review period, business types and business activities, and the areas for review within the selected business types and activities.
    - Reviewing the Scope as the Primary Reviewer
      Once the examiner in charge (EIC) sends an item (Scope, Plan, MRA, etc.) for review, the first reviewer selected in the step is the primary reviewer. Only the first reviewer selected to review the item can follow these steps.
    - Information Requests
      Information Request (IR) contain template language used to request information from a company.
    - Loan Requests
      When conducting an Examination with a Loan File Review Area for Review (AFR), you can send an Information Request (IR) to the company asking for a full list of their loan information.
    - Transaction Requests for Agencies
      Transaction requests in SES allow agency users to initiate and manage formal requests related to specific transactions during a money services business (MSB) examination. Unlike information requests or loan requests, which target broader data or document categories, transaction requests focus on obtaining evidence tied to individual transactions, supporting detailed analysis and issue identification throughout the examination lifecycle.
    - MTRA Workbook
      Users conducting MSB exams can export work completed in SES into a template that matches the MTRA work program.
    - Procedures
      Procedures are used to guide examiners during the examination in the review of company documentation or compliance with statutes, regulations, and other requirements.
    - Conducting the Exam: Reviewing Information Request Responses
      Conducting the exam consists of reviewing Information Request (IR) responses, working procedures and adding or reviewing findings.
    - Findings
      A finding is an issue identified by a state agency user during the supervision of a financial institution in SES. The finding may describe the company’s strengths and/or weaknesses regarding its compliance management system, assess the company’s compliance with consumer protection laws or regulations, or any potential consumer harm. A finding may be either a violation, recommendation, or observation.
    - Conducting the Exam: Marking an Area for Review (AFR) Complete
      Conducting the exam consists of reviewing information request (IR) responses, working procedures, and adding or reviewing findings and finding commentary.
    - Scheduling the Exit Meeting
      Schedule the exit meeting when you are ready to review the results of your examination with the company you are examining.
    - Report of Examination
      Assembling and managing report package, report commentary, and company response.
    - Matters Requiring Attention
      Matters Requiring Attention are optional tools to enable communications between agency and company regarding the resolution of findings from the exam.
    - Closing Out a Supervisory Activity
      When a Supervisory Activity is completed, you can close and lock it.
      - Entering Close Out Information
        Once the report has been sent to the company, the staff user(s) or the examiner in charge (EIC) must enter relevant close out information, including evaluations, ratings, and disposition.
      - Updating Close Out Information
        After the report is in “Complete” status and before the SA is closed, the EIC or staff user can enter and update the close out information on an SA.
      - Closing and Locking a Supervisory Activity
        After the examiner in charge (EIC) completes the close out information and marks the report response complete for a supervisory activity (SA), it can be closed and locked from further updates by the participants on the SA.
      - Suspending or Resuming Document Retention for a Supervisory Activity
        When closing and locking an exam, you have the option to suspend document retention on the SA. This may be done for legal, investigative hold, or other purposes. Suspension will remain in effect until lifted by your agency. Your agency will receive periodic reminders of all suspended SAs. See the chapter/bizContent/SES_Policy/topics/c_SES_GP_interimDocumentsAndDataRetentionPolicy.html#t_SES_GP_sesDocumentAndDataRetentionAndDispositionSchedule for more information.
        Suspending Document Retention
        Staff users or staff directors can suspend and resume document retention for a supervisory activity. This can only be done once the Report response is marked complete.
        Resuming Document Retention
        Staff users or staff directors can suspend and resume document retention for a supervisory activity.
    - Managing Time and Expenses
      SES provides functionality that allows you to document the time and expenses your agency incurs while conducting a supervisory activity.
  - Networked Supervision
    Networked Supervision allows agencies in multiple states to share resources on a supervisory activity.
- SES Examinations and Investigations Resources for Companies
  Responding to examinations and investigations in State Examination System (SES).
- Capturing Communications Between Agency and Company
  The Interactions page serves as a place where communication between the agency and company is captured. This includes emails, phone calls, meetings, physical mail and other miscellaneous forms of communication specific to the supervisory activity.
- SES Supervisory Activity Reports
  SES has several reports that allow you to view staff workload, plan assignments, identify supervisory activities with no examiners assigned, and view the progress or status of supervisory activites and responses to information requests.

Resuming Document Retention

Staff users or staff directors can suspend and resume document retention for a supervisory activity.

About this task

Note: You must be a staff director or staff user to suspend or resume document retention. Report response must be marked as complete. See Closing and Locking a Supervisory Activity for more information.

Procedure

Login to SES as a staff user or staff director.
Navigate to your supervisory activity.
Click Resume Document Retention.
Click Resume.

Need More Help?

Agency users, please visit the Secure Portal for phone and email contacts.
Company users should call the Call Center at 1-800-269-6189. Agency users should not call this number.