Complaints e-Book

First page Table of contents Next page Last page
Introduction to the SES Complaints Training2
Welcome to SES Complaints Training3
More About SES and Consumer Complaints4
Regulator Training Accounts6
How to use Complaints eBook8 - 9
Module 1: Entering a Complaint10
SES Complaints - More about Consumer Complaint Subjects11
Initiating a Complaint12
Searching for a Subject of a Complaint15
Entering a Complaint19
Completing Preliminary Review of a Complaint22
Sending a Complaint for Referral24
Creating a Non-NMLS Entity26
Using Discussion for Non-NMLS Entities29
Enrolling a Company User to SES Complaints31
Module 1 Exercises33
Module 2: Completing the Information Request Exchange for a Complaint35
SES Consumer Complaints – More about the Information Request Exchange36
Managing Information Requests for Complaints38
Generating Company IR Responses for Complaints Training Program45
Reviewing Information Request Responses for Complaints47
Module 2 Exercises50
Module 3: Processing a Complaint52
SES Consumer Complaints – More about Processing a Complaint53
Managing Research and Communication for a Complaint55
Updating a Complaint57
Entering Alleged Violations59
Sending a Complaint for Refferal60
Accepting or Rejecting a Complaint Referral62
Closing a Complaint64
Reopening a Complaint66
Module 3 Exercises68
Module 4: Sharing a Complaint70
More about Agency View vs Company View of Complaint Record71
Requesting Access to a Complaint75
Accepting or Rejecting Access to a Complaint63
Removing Access to a Complaint81
Module 4 Exercises84
Additional Resources86
Viewing the New Complaint Progress Report87
Viewing the IR Response Activity Report89
Viewing Complaints Reports91
Company Resources93
Viewing a Complaint94
Assigning and Reassigning the Company POC95
Responding to a Complaint Information Request98
Updating the Complaints Contact101
SES Practice Scenarios103

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