- Initiating a Supervisory Activity
The first step in conducting an exam, investigation, or enforcement in SES is to on a company.
- Updating the Basic Details of a Supervisory Activity
Examiners in Charge (EICs), and Staff Users that are participants on a supervisiry activity (SA) can make updates to the basic details of an examination and save them to the SA.
- Canceling a Supervisory Activity
You can cancel a supervisory activity (SA) in SES at any time before the report is sent to the company.
- Sending a Supervisory Activity for Review
When initiating a in SES, you have the option of sending it for review.
- Reviewing a Newly-Initiated Supervisory Activity
The staff director or staff user who initiated a supervisory activity (SA) has the option of sending the SA for review to one or more staff directors before it is scheduled.
- Milestones and the Supervisory Activity Workflow
The workflow and its milestones are displayed on the supervisory activity's Summary page. There are seven milestones in total, and there are specific tasks to be completed in that phase of the supervisory activity.
- Managing the Plan
The plan informs participants of their responsibilities within the exam. Defining the plan is optional.
- Managing the Scope
The scope determines the content that will be reviewed during a supervisory activity, including the review period, business types and business activities, and the areas for review within the selected business types and activities.
- Reviewing the Scope as the Primary Reviewer
Once the examiner in charge (EIC) sends an item (Scope, Plan, MRA, etc.) for review, the first reviewer selected in the step is the primary reviewer. Only the first reviewer selected to review the item can follow these steps.
- Information Requests
contain template language used to request information from a company.
- Loan Requests
When conducting an with a Loan File Review , you can send an Information Request (IR) to the company asking for a full list of their loan information.
- Transaction Requests for Agencies
Transaction requests in SES allow agency users to initiate and manage formal requests related to specific transactions during a money services business (MSB) examination. Unlike information requests or loan requests, which target broader data or document categories, transaction requests focus on obtaining evidence tied to individual transactions, supporting detailed analysis and issue identification throughout the examination lifecycle.
- Agent Location Requests
Learn how to use the agent location requests functionality in SES as part of an MSB examination.
- MTRA Workbook
Users conducting MSB exams can export work completed in SES into a template that matches the MTRA work program.
- Procedures
Procedures are used to guide examiners during the examination in the review of company documentation or compliance with statutes, regulations, and other requirements.
- Conducting the Exam: Reviewing Information Request Responses
Conducting the exam consists of reviewing responses, working procedures and adding or reviewing findings.
- Findings
A finding is an issue identified by a state agency user during the supervision of a financial institution in SES. The finding may describe the company’s strengths and/or weaknesses regarding its compliance management system, assess the company’s compliance with consumer protection laws or regulations, or any potential consumer harm. A finding may be either a violation, recommendation, or observation.
- Conducting the Exam: Marking an Area for Review (AFR) Complete
Conducting the exam consists of reviewing information request (IR) responses, working procedures, and adding or reviewing findings and finding commentary.
- Scheduling the Exit Meeting
Schedule the exit meeting when you are ready to review the results of your examination with the company you are examining.
- Financial Statements
This topic provides an overview of the Financial Statements section in SES, which allows agency users to capture and analyze a company’s financial data within the context of a money services business (MSB) examination. Examiners can create a structured financial grid—similar to the MTRA Work Program workbook—to assess financial health, identify risks, and support consistent, data-driven examination decisions.
- Report of Examination
Assembling and managing report package, report commentary, and company response.
- Matters Requiring Attention
Matters Requiring Attention are optional tools to enable communications between agency and company regarding the resolution of findings from the exam.
- Closing Out a Supervisory Activity
When a is completed, you can close and lock it.
- Managing Time and Expenses
SES provides functionality that allows you to document the time and expenses your agency incurs while conducting a supervisory activity.
- Company Documents Page on a Supervisory Activity
Learn about the Company Documents page on a supervisory activity (SA) in SES. The Company Documents page provides a centralized location to view all documents uploaded by the company for a supervisory activity.
