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State Examination System (SES)
The State Examination System (SES) was launched in 2020 and is being used by state agencies for licensee supervision. CLICK HERE (trusted partner link) for a complete list of state agencies currently using SES.
About the SES
The SES was developed by the Conference of State Bank Supervisors (CSBS), the same organization behind the NMLS. Just as NMLS supports the licensing process of state regulators and their licensed companies, SES is now supporting the examination and supervision processes. SES is a secure online platform that manages the end-to-end workflow for examinations, investigations, enforcements and other supervisory activities of state licensed companies and will be used by both regulators and companies under supervision.
Companies subject to examination in SES will interact with the system in the following primary areas:
- The information request process. The complete list of information requests for scheduled examinations in the system will be shared with your company through the system and your responses to these requests will take place in the system.
- Receiving and responding to the report of examination. The report of examination and any follow-up items after the agency’s examination will be uploaded to SES and companies will be able to respond to the report of examination and any follow-up items in the system.
Upcoming Examinations in the SES
A company examined in SES will be notified by the agency about the examination a few weeks prior to the start of the examination in the system. This communication will hold important information on how to set up user accounts, where to go for training resources on the system and other important information. This communication will be sent to the agency’s regular point of contact within the company for agency examinations.
In addition, if the company is new to SES, the company examination contact will receive two emails for account set-up. One of these emails will come from SES notifications and the other will come from Okta (CSBS SSO), the single sign on solution used by SES. Please take action when these emails are received as they are the first step in establishing the company’s account in SES. If the company has an existing SES account, perhaps due to an exam in SES from another agency, they will not have to go through the account set-up process again and the organization’s examination contact will continue to receive email notifications about upcoming examination(s) in SES. CLICK HERE (trusted partner link) to access the Company Quick Start Guide.
At this point, no action from your organization is required. Further instructions on how to access the system will be shared with each company as examinations are being scheduled in the system. However, at the company’s discretion, there are a couple of action items that companies may take now to prepare for an upcoming examination in SES. Refer to the resources below for more information.
SES Notifications and Training Resources
SES notifications will be exchanged between the agency and the company by email. CLICK HERE (trusted partner link) for a list of URLs and email addresses associated to SES that companies should mark as safe to avoid having these notifications and URLS blocked by internal security systems.
Training resources for companies are available HERE (trusted partner link). This site has videos and other resources that explain how to use the system. Please visit this resource site often, as training material will be regularly updated.
The Bureau looks forward to advancing our supervision program through SES. SES offers a new, more streamlined and consistent platform for supervision across state agencies and we hope companies see these benefits.