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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.
Preparing and Uploading the Report of Examination
The examiner in charge (EIC) can decide what information to include in the report (examiner observations, findings, report commentary, etc.). Preparing the report takes place outside the system.
Preparing the Report
To prepare the report of examination, the EIC exports all commentary, findings, and procedures to an Excel® file, so this information can be pasted into the report template.

Preparing the Report

To prepare the report of examination, the EIC exports all commentary, findings, and procedures to an Excel® file, so this information can be pasted into the report template.

Procedure

Export the necessary findings, report commentary, and procedures.

Note: Findings and procedures can be exported using the Export to Excel command located at the bottom of the corresponding tab.
Copy any other information collected by the exam team that you wish to include in the report.
Paste the relevant information into the report template.

What to do next

Preparing and Uploading the Report of Examination

Need More Help?

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Company users should call the Call Center at 1-800-269-6189. Agency users should not call this number.