RMMO Corporate Action Support Process

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New Plan / Spin-off

Complete this form for new plans & spin-offs which are transferring or retaining assets at Fidelity. For spin-off / partial assets moving to a new recordkeeper, please follow the deconversion process.

Important - All new plans and spin-offs are reviewed by a formal governance team. The governance team meets weekly to review all requests, approve the segment, and assign the service team for a new client relationship, as applicable.

Following the governance team review, the Middle Office will send you a notification on the approval status along with the next steps and confirm the target effective date. In addition, the Middle Office will work with you to complete the remaining steps for the Implementation project request.

In addition to completing this form, please begin these steps as they are entrance requirements for the Implementation New Plan / Spin-off project request:

Contact your current Finance Analyst to review and provide the pricing on the new plan / spin-off request.
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- Follow your segment’s procedures to engage Finance.
- The PPMC #, XTRAC #, or email with Finance’s comments is required by Implementation.

Determine the investment line-up and fund mapping for the new plan / spin-off, as applicable.
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- For plans converting assets from a prior recordkeeper, obtain and provide the plan asset statement to the RM Middle Office team by attaching it to this request or email it to the “WI RMMO Corp Action Support” mailbox.
- For spin-offs from an active Fidelity plan, the RM Middle Office team will provide a fund mapping spreadsheet with the current investment line-up. The investment line-up for the new plan and mapping will be added to the spreadsheet.
- If you already have the fund mapping, please attach it to this request or email it to the “WI RMMO Corp Action Support” mailbox. The Middle Office team will convert the fund mapping into the required Implementation format.
- You may indicate in the request form below if you would like the RM Middle Office team to directly email the Investment Consultant aligned to the client for the new investment line-up and/or fund mapping recommendations.
- Once the new investment line-up and fund mapping is known, Middle Office will review and notify you of any additional required actions. Examples: Stable value fund termination notification, additional information to approve an IPAS, etc.

Obtain the required plan documents.
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- New Plans – If the new plan will have an Individually Designed Plan Document, please work with the plan sponsor to gather the required plan documents.
  
  For Non-Qual plans using the Benefits Consulting team, a draft plan document and the Service Agreement will be required.
- New Plan with PRK assets - Please work with the plan sponsor to gather the required Prior Recordkeeper Plan documents.
- Spin-off – If the “Out” Transferring Plan has an Individually Designed Plan Document, please work with the plan sponsor to gather the required plan documents

Request Overview

Corporate A Number

Select your Segment

Corporate Action Type

Requested Corporate Action Effective Date (Corporate Action effective date calendar)

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.

For projects that require a PPMC – After the PPMC is updated with an Approved Start Date and/or Effective Date, you may enter an escalation request if a change to the start and/or effective date is needed.

Is the Sales, Rebid, or Consultant Relations Team involved with this new plan / spin-off request?

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

Is another corporate action occurring at the same time?

Client Overview

Are you creating a new client relationship?

New Client Name

Proposed segment for the new client

Note: The client assets are a key factor for approving the new segment, however if other information should be considered by the governance team, please provide the details in the Additional Information box below.

Client Name

Current segment

New Client Details

New Client Location (Headquarters) - City/State

New Client Location (Client Contact, if different from above) - City/State

New Client contact name(s) (if known)

Does the client contact have experience working with Fidelity?

Will the client have multiple vendors?

Will the two companies have a transition service agreement, be related, or maintain an ongoing affiliation?

Consultant / Advisor Overview

Are you expecting to add an Advisor / Consultant to the new client account?

Enter the Advisor / Consultant Firm Name (if known)

Enter the Advisor / Consultant Contact Name (if known)

Plan Details

Enter the # of DC Qual plans that will be established

Only enter numbers 0 - 10. If more than 10 plans are needed, please indicate in Additional Comments

Enter the # of Non-Qual plans that will be established

Only enter numbers 0 - 10. If more than 10 plans are needed, please indicate in Additional Comments

Non-Qual plan type

Is Benefits Consulting creating the Non-Qual Plan Document?

Country qualification being requested for the new plan(s)

Plan document type being requested for the new plan(s)

Service Agreement type being requested for the new plan(s)

Estimated assets of the new plan(s)

Estimated total participants of the new plan(s)

Out Plan Number(s)

Out Plan Number

Request Details

How will the assets be transferred?

Would you like the RM Middle Office team to request the potential mapping alternatives from the Research team

The potential mapping alternatives can be presented to the client as an Education interaction to obtain the client direction for the fund mapping.
For new plans with PRK conversion assets (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.

Can FinOps contact the fund companies for approvals during the IPAS process on behalf of the new plan?

Note: Please select “No” for only confidential situations in which the new plan should NOT be communicated to the fund companies at the current time.

Are you expecting to add PAS-W to the new plan?

Are you expecting to add Model Portfolio Recordkeeping Service (MPRS) to the new plan?

PPMC Details

Criticality Rating for Corporate Action PPMC

Rank

Note - If none of the Rank options apply, please change the criticality rating to Severe.

Pricing Model

Client Contact Name for Corporate Action PPMC

Additional Information

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

Add Attachments

due date

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