Summer Regulatory Summit eBook

Internal Use Only

SES Third Party User Feature What does system policy say?

 Companies are not allowed to add third parties under any circumstances under a company role: must use TPU feature .  Agency reserves the right to prohibit company use of the feature during supervision in SES.  Companies must work with their regulator directly to determine the use of the feature (when applicable).

Internal Use Only

SES Third Party User Feature

• Can view the details of a SA of which they’re participants, and it’s accompanying documents (e.g., IR attachments, ROE). • Can be assigned different roles in the SA, e.g., “Company Lead” who can communicate with the agency. • Cannot view anything other than the company’s SA to which they were assigned. • Do not have any visibility over other SAs in the system. • System automatically removes them from the SA once the SA is closed (once MRAs are completed, if applicable). • Agencies can see the TPUs for each company in SES. Third Party User Role Overview

• Can view all the company’s exams (summary level details). • Can manage the company’s profile and record in the system. • Can manage user roles - if assigned as a Company Administrator. • Can view Complaints sent to the company. If Wrongfully added as a Company User