RMMO Corporate Action Support Process

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Merger & Group Rollover
Mid / Emerging / Advisor


IMPORTANT – If the client is acquired by company NOT recordkept by Fidelity, this is considered a re-bid with outside assets and a Sales Account Executive (AE) is engaged to assist with the retention and winning new assets. Please complete the MD M&A Playbook for clients in this scenario.
Request Overview

In addition to completing this form, the following MD steps are required to initiate a Merger or Group Rollover:

  1. Contact Finance to review the merger or group rollover request and determine any pricing impacts.
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  2. For Flex plans only, complete the Flex Deal Qualification process and obtain approval for the merger.
    For 3(16) plans only, complete the Deal Qualification process.

  3. For external mergers (or Individually Designed Plans), request from the plan sponsor the required plan documents and the prior recordkeeper asset statement, if applicable.
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  4. For mergers, confirm the asset transfer method.

    Determine if the plan sponsor / advisor / consultant will provide the fund mapping or if the Investment Consulting team will be involved to create recommendations.

  5. Solutions Office will provide the Implementation Merger Checklist to complete.


Important - The RM Middle Office team will enter your Requested Effective Date in the Implementation project request (or work with you to adjust the date based on the calendar). Please keep in mind the project timing including start and effective dates, will be determined after your project request has become in good order (IGO). The start and effective dates will be based on project duration requirements and resource availability.

Impacted Plans

Out "Transferring" Plan Number(s)
Plan Number Partial or Full Merger Will plan remain active after corporate action?

Request Details


  • The potential mapping alternatives can be presented to the client as an Education interaction to obtain the client direction for the fund mapping.
  • For external mergers (plans transferring from a prior recordkeeper), the prior recordkeeper asset statement needs to be received by the RM Middle Office team before an email to the Research team can be sent. 

Please provide the details to the RM Middle Office team in the "Additional Information" box below.



Please provide the details to the RM Middle Office team in the "Additional Information" box below for considerations to the fund mapping. In addition, an Implementation exception approval is required if the changes include fund removals and/or reallocations.

For Highly Confidential Attachments

Attachments with Highly Confidential Information (e.g. SSN, Part. Name, Part. DOB) SHOULD NOT be attached to this request form. Please see SP2I Quick Reference if you are unsure whether data is Highly Confidential.

Please email attachments with Highly Confidential Information related to this request to the “WI RMMO Corp Action Support” mailbox.

For Non Highly Confidential Attachments


In addition to completing this form, the following MD steps are required to initiate a Merger or Group Rollover:

  1. Contact Finance to review the merger or group rollover request and determine any pricing impacts.
    More / Hide
    • The normal segment process should be followed to engage Finance.
    • The XTRAC # or email with Finance’s comments is required by Implementation.

  2. For Flex plans only, complete the Flex Deal Qualification process and obtain approval for the merger.
    For 3(16) plans only, complete the Deal Qualification process.

  3. For external mergers (or Individually Designed Plans), request from the plan sponsor the required plan documents and the prior recordkeeper asset statement, if applicable.
    More / Hide
    • Prior Recordkeeper and Individually Designed Plans - Please work with the plan sponsor to gather the required plan documents. The plan documents can be emailed to the "WI RMMO Corp Action Support" mailbox.
    • The prior asset statement needs to be provided to the Middle Office team before the fund mapping document can be created.
    • Volume Submitter Plans - The RM Middle Office team will gather all required plan documents. No MD action is required.

  4. For mergers, confirm the asset transfer method.
Determine if the plan sponsor / advisor / consultant will provide the fund mapping or if the Investment Consulting team will be involved to create recommendations.

5. Solutions Office will provide the Implementation Merger Checklist to complete.


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