2025 Regulatory Summit

Internal Use Only

Information Sharing in SES – Exams and Investigations Agency Users Agency rep Agency rep in my agency Agency rep from another agency

participating on an exam of my agency

Yes

Yes

Yes

View basic information of exam by my agency E.g., company name, start date, EIC name, exam milestone, scope View details of exam by my agency E.g., all onscreen data of exam, with document limitations listed below View documents uploaded during the exam Note: excludes the ROE

Yes

Yes

No, requires permission from the owning agency No , must be a participant in exam No , requires permission from the owning agency

Yes

No

View the ROE

Yes

Yes

Take an action on an exam in my agency The types of actions a user can take depend on his/her role on the exam. For example, EICs have more authority to take some actions.

Yes

Yes, limited to certain users

No

Internal Use Only

Current State

State Regulator Legal Protections and Corresponding Access Levels

None Agreements & Protocols SAFE Act

Blocked Request (signatories to MOUs)

Summary Level Data (all regulators with financial services industry oversight authority)

Access Levels (who has access)

Legal Protections