Complaints e-Book

SES Practice Scenarios Select any agency user account from the Regulator Training Accounts page to complete the practice scenarios below in the SES Training Environment. This hands-on practice allows you an opportunity to experience the complaints functionality before you begin using the real production environment. Training Account Credentials (record your practice account below for quick reference) Username (case-sensitive): _______________________________________ Password: __Test123!_____ Keep in mind, utilizing the SES Training Environment is your opportunity to test all the available features without any limitations – except that we ask that you do not use or upload real complaint data. Please use your imagination to create fictitious but life-like scenarios to prepare you for the real application. The knowledge articles referenced below in bold can be found in their applicable sections of this eBook. Module 1 Scenario Scenario 1 Using the Initiating a Complaint , Searching for a Subject of a Complaint , and Entering a Complaint knowledge articles, enter a complaint on the NMLS/SES company provided in your login packet. We recommend that you practice both methods of searching for the company and if you would like, create multiple complaints on the entity to practice the process. Optional : If you envision your agency will incorporate the process of escalating the initial complaint data for review, please practice sending a complaint for preliminary evaluation and completing the preliminary evaluation. Refer to the Completing Preliminary Examination of a Complaint knowledge article to assist with this process. Be sure to assign your training account as the agency POC of the complaint. Scenario 2 Now that you are familiar with searching for a known company and entering the complaint into SES, proceed with creating a new non-NMLS entity. Use the Creating a Non-NMLS Entity knowledge article to complete this process.

Updated: 6/9/2021