Licensees who've been through the SES know that it's a veritable candy store for regulators, with most SES Exams requesting as few as 15 (WA/TX Broker limited scope) and as many as 125 (MD). New Mexico's request is sparse:
Advertising - copies and policies
Consumer Complaints Policy
Information/Cyber Security - standard FTC menu
Cyber Risk Assessment
Surety Bond
BSA/AML Plan, Training, and Independent Review
All of these items are in the compliance pack
Make sure
You review your advertising/messages for compliance with NMLS Licensing requirements (both company name correct, NMLS IDs for all, correct address)
Your AML plan refers to the correct document retention period for SAR records (6 years)
