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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.
Report of Examination
Assembling and managing report package, report commentary, and company response.
Managing Reviews of the Report of Examination
The review process consists of a prmary reviewer and optional additional and peer reviews. This section discusses how to manage the review process.

Managing Reviews of the Report of Examination

The review process consists of a prmary reviewer and optional additional and peer reviews. This section discusses how to manage the review process.

Peer review

Peer review is different from the formal review that often leads to an approval of the Report of Examination (ROE). Use of peer review is optional and can be used before a formal review process if desired.

Formal review

In the formal review process, the primary reviewer is responsible for final approval of the report. If the Examiner in Charge (EIC) wants to retain the ability to make the approval decision, then send the report for peer review.

Note: Once the report is marked complete, no further changes can be made to the report. If multiple reviewers need to review the report, add all the necessary reviewers at one time.

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