Complaints e-Book

SES Consumer Complaints – More about the Information Request Exchange All agency complaint users can add information requests, or IRs, to the complaint, however only the agency point of contact (POC) assigned to the complaint can send the IR(s) to the company. The agency POC is the individual who initially entered the complaint or who was assigned as part of completing the preliminary review. At any time prior to closing the complaint, the agency POC can be reassigned by updating the complaint details. It is important to note, the information request exchange in SES is only available for complaints on NMLS/SES companies and cannot be used for non-NMLS entities. Let’s talk more about how the information request process works in SES. Agency: Once the agency creates the information requests for the complaint, they can be sent to the company all at once or in multiple instances. - A specific due date can be set for each individual information request or a bulk due date can be applied to all information requests. The IRs added to a complaint can be sent to the company even if the company has not yet completed enrollment in SES. When you send the information requests, you can create a new user account or send a reminder for the company to finish enrollment. The company is not able to view the details of an IR or submit responses until company enrollment is complete. Once the information requests have been sent to the company by the agency, - The due date for each request can be updated individually to provide an extension, if needed. - A request can be cancelled if the information is no longer necessary. - The description and documents uploaded for a request cannot be updated until a response has been received by the agency. Company: Once the company has responded, which can be done in multiple instances or all at once, they can no longer make changes to their responses unless the requests are sent back to the company by the agency. Agency: When reviewing the responses, the agency has a few different actions available depending on the quality of the responses received: • Good: If the response is satisfactory you can use the Quick Look Complete tag which signals to others helping you work the complaint that you have looked at the response

Updated: 1/22/2021

Made with FlippingBook - professional solution for displaying marketing and sales documents online