SES Complaint e-Book

SES 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 evaluation. 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. 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 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 and it meets your needs. Think of it like unread (bold) and read (no longer bold) emails. The Quick Look Complete tag is only seen by the agency and is not shown to the company. Once the information requests have been sent to the company by the agency, Let’s talk more about how the information request process works in SES.

Updated: 6/19/2020