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  2. Supervisory Activities

    Supervisory activities are used for examining and investigating companies.

  3. SES Examinations and Investigations Resources for Companies

    Responding to examinations and investigations in State Examination System (SES).

  4. Managing Company Supervisory Activity Participants

    Company participants on a Supervisory Activity can be added or removed at any time until the Examination or Investigation is Closed. You can also update user roles on an SA or reassign the company lead.

  • 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.

    • SES Examinations and Investigations Resources for Companies

      Responding to examinations and investigations in State Examination System (SES).

      • Job Aid: Your First Examination in SES

        This job aid serves as a guide for company users to complete the setup process for their company (i.e., company enrollment) and respond to an exam in the State Examination System (SES).

      • Managing Company Supervisory Activity Participants

        Company participants on a Supervisory Activity can be added or removed at any time until the Examination or Investigation is Closed. You can also update user roles on an SA or reassign the company lead.

        • Assigning the Company Lead on a Supervisory Activity

          The company lead is the main point of contact for a Supervisory Activity, responsible for responding to Information Request (IR), the Report of Examination (ROE), and Matters Requiring Attention (MRA).

        • Adding Company Participants to a Supervisory Activity

          Company participants on a Supervisory Activity can be added at any time until the Examination or Investigation is Closed.

        • Updating Company SA Participant Roles or Removing Participants

          Company participants on a Supervisory Activity can be updated or removed at any time until the Examination or Investigation is Closed.

        • Reassigning the Company Lead on a Supervisory Activity

          The Company Lead on a Supervisory Activity can be reassigned at any time until the Examination or Investigation is Closed.

      • Leveraged or Accepted Supervisory Activities

        You may receive notifications that an agency is leveraging another agency’s Supervisory Activity for your company. Or you may receive notifications from SES indicating that an agency has accepted aSupervisory Activity) for your company.

      • Information Requests

        Information Request (IR) are used by the examining or investigating agency to obtain information relevant to the supervisory activity. Your company lead can respond to these information requests directly or assign them to other participants at your company.

      • Responding to Loan Requests

        After an agency sends you loan requests, you can add responses to those loan request and assign those loan requests to other participants on your supervisory activity.

      • Matters Requiring Attention

        Matters Requiring Attention (MRA) are areas of concern which the examining or investigating agency expects to be addressed at the close of the Supervisory Activity. This section describes how to repsond to MRAs and, if you require more time, to request an extension of the due date.

      • Report of Examination

        The examining or investigating agency will present a Report of Examination (ROE) at the completion of the supervisory activity. Your company may be allowed to respond to the report.

      • Reviewing Closure Materials

        At the conclusion of a supervisory activity (SA) for your company, an agency can add comments or closure documents. If comments or closure documents are added to your company’s SA, they can be accessed on the Closure Materials tab for the SA.

      • QuickIR

        QuickIR is an SES feature that allows your company to browse through the standard information requests (IRs) in the State Examination System (SES) and prepare your responses to the IRs in advance of an upcoming examination of your company in 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.

Managing Company Supervisory Activity Participants

Company participants on a Supervisory Activity can be added or removed at any time until the Examination or Investigation is Closed. You can also update user roles on an SA or reassign the company lead.

For details on user roles and permissions, see the SES Company User Roles Matrix.

Note: Only the company lead can manage participants on a Supervisory Activity
  • Assigning the Company Lead on a Supervisory Activity
    The company lead is the main point of contact for a Supervisory Activity, responsible for responding to Information Request (IR), the Report of Examination (ROE), and Matters Requiring Attention (MRA).
  • Adding Company Participants to a Supervisory Activity
    Company participants on a Supervisory Activity can be added at any time until the Examination or Investigation is Closed.
  • Updating Company SA Participant Roles or Removing Participants
    Company participants on a Supervisory Activity can be updated or removed at any time until the Examination or Investigation is Closed.
  • Reassigning the Company Lead on a Supervisory Activity
    The Company Lead on a Supervisory Activity can be reassigned at any time until the Examination or Investigation is Closed.

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.

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