SES Examinations and Investigations Resources for Agencies
How to initiate and manage examinations and investigations of supervised companies.
Thank you for your interest in the State Examination System (SES). SES is a one-stop-shop for financial services industry supervision that brings an agency’s entire engagement with companies onto a single platform, which in turn brings efficiencies to state supervision.
Below is a set of resources available to agencies to learn more about conducting examinations and investigations with SES.
Fastpath: Check out the SES Workflows by SES Training (Exams and Complaints) to see videos explaining the full
process for conducting exams and complaints in SES from both the agency and company
perspective.
Other resources:
- Job Aid: Conducting Your First Exam in SES: A guide for new examiners in charge (EIC) to conduct their first exam in SES.
- State Examination System (SES) Agency FAQs: Find answers to common questions about the system.
- SES Policies: Contains all SES policies and a glossary of terms.
- A Tour of SES: A video geared toward company users that provides an overview of the system.
- Creating and Removing Agency Users: Get people in your agency access to SES.
- SES Agency System Roles & Consumer Complaints Roles: A summary of the roles and permissions available to your agency’s SES users.
- Supervisory Activity Participant Roles
- Managing Agency User Accounts: Update your agency’s users’ profiles, update roles, reset passwords, and unlock accounts.
- Information Sharing: Instructional video providing information on concepts behind the system.
- SES System Releases: Information and tutorials about updates that have been made to the system.
- SES Email Notifications
- State Examination System (SES) Hours of Operation
- State Examination System Technology Requirements