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: SES EIC Roundtable - Suggested Best Practices for Multi-State Exams in SES: A guide for examiners in charge (EIC) about how to conduct multi-state exams in SES.
- exam_inv/topics/c_jobAidConductingYourFirstExam_SES-1.html: A guide for EICs to conduct their first exam in SES.
- bizContent/faq/topics/c_agency_SES_FAQ-1.html: Find answers to common questions about the system.
- bizContent/SES_Policy/topics/c_SES_policies-1.html: Contains all SES policies and a glossary of terms.
- getStart/topics/c_TourOfSES-1.html: A video geared toward company users that provides an overview of the system.
- userMgt/topics/c_agency_creatingRemovingUserAccounts.html: Get people in your agency access to SES.
- getStart/topics/c_agency_SES_systemRoles-1.html: A summary of the roles and permissions available to your agency’s SES users.
- getStart/topics/r_agency_SA_participantRoles-1.html
- userMgt/topics/c_agency_managing_user_accounts-1.html: Update your agency’s users’ profiles, update roles, reset passwords, and unlock accounts.
- Information Sharing: Instructional video providing information on concepts behind the system.
- sysRel/topics/c_SES_SystemReleases-1.html: Information and tutorials about updates that have been made to the system.
- bizContent/reference/topics/r_SES_emailNotifications-1.html
- bizContent/reference/topics/r_SES_HoursAndSupportForIndustry-1.html
- bizContent/reference/topics/r_SES_TechReqs-1.html