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The SES (State Examination System) automates audits SA's (Supervisory Activity). Here's how to add a user to your SA
When a regulator or investor requests compliance audits, what are they looking for?
The plan you previously had in place is the one that should be reviewed, even if you end up buying a new one.
The SES (State Examination System) is connected to the NMLS system. Adding people and updating documents is similar to that architecture.
Are a bear
Regulators often ask for business plans. Do you really need to write a business plan? The answer lies in reading the actual request.
You probably submitted more than what the regulator requested
It's a Federal rule, but states can enforce it. Some states are more specific than others.
Washington's examination is pretty straightforward, until you get into the details
Adding a 3rd party can save you time and money and make your process easier. Use the SES system to maximize your communication and avoid long email chains and multiple documents
How to find your required items in your policies and procedures
New York Brokers are getting examination requests in droves. Here's what to expect and how we can help.