How prepared is your company for an examination? To best be prepared for an examination, please keep the following in mind:
Keep your business records organized: Be sure to keep your business records organized. Copies of your documents should be stored systematically for timely, routine access.
Know how to pull reports from your electronic systems: Be familiar with how to pull reports from your electronic systems. You will be required to provide transaction and financial records for the examination.
State Examination System (SES): The Department utilizes the State Examination System (SES) for examinations of certain license types. If you are selected for an examination in SES, you will need to ensure you add a Supervisory Activity Contact into the system. The examination will then be conducted almost exclusively through the system. Review the About SES page for more information. Familiarize yourself with the QuickIR feature which allows your company to browse through the standard information requests in SES and prepare your responses to the IRs in advance of an examination.
Exam correspondence via BOX.com: The Department utilizes BOX.com to receive exam correspondence on exams conducted outside of SES. If you do not have an existing account from a previous examination with us, you will be asked to create a free individual account.
Maintaining your records in an organized way and preparing for an examination before receiving notice of it means an easier examination process. If you have any questions about your examination obligations or your compliance with Washington requirements, please feel free to contact the Department at CSExamsUnit@dfi.wa.gov.