Service Messages are listed below in alphabetical order by category. Your list of available Services Messages may vary based on your user profile.
- Account Management
- Asset Servicing
- Client Management
- Personal Trust Services
- Risk Management
- Securities & Money Movement
- Trade Support
If Entitled:
- Bank Trust Custody & Retirement Recordkeepers
- Designated Brokerage Services (DBS)
Last updated November 2022.
Account Features & Maintenance | Account Records & Documentation
Top| Subcategory | Description |
|---|---|
| Abandoned Property | Notification that an account is recorded as inactive or eligible for escheatment in the next cycle. |
| Beneficial Ownership Maintenance | Request for Beneficial Ownership Form for Entities completion. |
| eDelivery Setup Notification | Notification that eDelivery has been set up for an account. |
| General Message | Service Message regarding account setup and maintenance. |
| Maintenance NIGO | Notification that an account maintenance request is NIGO (Not In Good Order) and a request for information to resolve. |
| New Account NIGO | Notification that a new account is NIGO (Not In Good Order) and a request for information to resolve. |
| Prime Brokerage Agreement/Form 151 | Request for Form 151/Agreement for Prime Brokerage Clearance Services. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding account records and documentation. |
Alternative Investments | Control & Restricted Stock | Corporate Actions & Reorganizations | Pricing | Security Processing | Security Setup & Maintenance | Tax & Cost Basis
Top| Subcategory | Description |
|---|---|
| General Message | Service Message regarding alternative investments. |
| New Product Request Acknowledgment | Acknowledgment that a new product request was received. |
| New Product Request Final Status | Status on a new product approval request. |
| Pending Capital Call | Notification of receipt of a pending capital call request. |
| Reconciliation Notice | Notification that the sponsor of a CUSIP has sent money to an institution outside of the custodian National Financial Services LLC. |
| Trade NIGO | Notification that a trade is NIGO (Not In Good Order). |
| Transfer NIGO | Notification that a transfer is NIGO (Not In Good Order). |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding control and restricted stock. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding corporate actions and reorganizations. |
| Proxy Notification | Notification of an account proxy. |
| Reorg Adjustment | Notification of a reorg adjustment. |
| Reorg Notification | Notification of a reorganization. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding pricing. |
| Subcategory | Description |
|---|---|
| Adjustment/Return to Customer | Notification that a security was adjusted or returned to the customer. |
| Bond Interest | Notification regarding bond interest. |
| Dividend Adjustments | Notification of a dividend adjustment. |
| General Message | Service Message regarding security processing and payments. |
| Mutual Fund Dividends | Notification regarding a mutual fund dividend. |
| Redemption | Notification regarding a security redemption. |
| Survivor Options In Good Order | Notification of survivor option IGO (In Good Order). |
| Survivor Options NIGO | Notification of survivor option NIGO (Not In Good Order). |
| Survivor Options Reject | Notification of survivor options reject by paying agent. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding security setup and maintenance. |
| Subcategory | Description |
|---|---|
| 990T Notification | Notification of 990T communication. |
| Certification Mailings | Notification that a W8 re-certification was sent. |
| Compliance Mailings | Notification that an IRS B-Notice or IRS C-Notice was sent. |
| General Message | Service Message regarding tax and cost basis. |
| Reclassification | Notification of an account reclassification. |
| TLA Corporate Action | Notification of a corporate action. |
| Vs. Purchase Notification | Service Message regarding a vs. purchase request. |
Client Management Notifications | Fidelity Managed Account Xchange (FMAX)
| Subcategory | Description |
|---|---|
| General Message | Service Message from client management. |
| Service Recovery Event | Notification to clients of a service recovery event. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding FMAX accounts. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding Trust Operations. |
Adverse Agency | Compliance | Court Ordered Restrictions | Credit Risk | Customer Due Diligence | Foreign Assessments | Fraud | Levy | Market/Proprietary/Operational Risk | Mutual Funds | Suspicious Account Monitoring
Top| Subcategory | Description |
|---|---|
| Adverse Restriction Notification | Notification of a restriction placed on a customer account for adverse media, which blocks the customer from moving funds into the account and from placing opening trades. |
| Subcategory | Description |
|---|---|
| Unidentified Large Trader | Notification of an Unidentified Large Trader (ULT). |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding court ordered restrictions. |
| Subcategory | Description |
|---|---|
| Customer Email Address Clarification | Request for information related to customer's emailing address. |
| Customer Mailing Address Clarification | Request for information related to customer's mailing address. |
| Fee Clarification | Request clarification of fees associated with client accounts. |
| Subcategory | Description |
|---|---|
| Customer Information Update | Notification that additional information is needed from the customer to satisfy Customer Due Diligence (CDD) regulation. |
| Subcategory | Description |
|---|---|
| Foreign Bank | Request for a foreign bank certification. |
| Foreign Financial Institution Questionnaire | Request for Foreign Financial Institution questionnaire. |
| General Message | Service Message regarding foreign assessments. |
| OFAC Citizenship Account Restriction: Cuba, North Korea (Expired Documentation) | Notification of expiring documentation on an account, which requires additional documentation to be provided. |
| OFAC Citizenship Account Restriction: Cuba, North Korea (Initial) | Notification of a restriction on an account, which requires additional documentation to be removed. |
| OFAC Citizenship Account Restriction: Iran, Syria (Expired Documentation) | Notification of expiring documentation on an account, which requires additional documentation to be provided. |
| OFAC Citizenship Account Restriction: Iran, Syria (Initial) | Notification of a restriction on an account, which requires additional documentation to be removed. |
| OFAC Country Login | Notification of a restriction on an account due to attempted login from an OFAC sanctioned country. |
| OFAC High Risk Jurisdiction | Notification of a restriction on an account due to OFAC high risk jurisdiction. |
| OFAC Information Request | Request for additional information regarding potential OFAC match. |
| OFAC Transaction - Disapproval Notification | Notification that a transaction was disapproved for an OFAC reason. |
| OFAC Transaction - Request for Information | Request for information on a transaction that is pending OFAC review. |
| Prohibited Country Restriction Notification | Notification that an account has been restricted due to prohibited country process. |
| Subcategory | Description |
|---|---|
| Account Compromised | Notification that an account has been compromised. |
| Potential Account Compromise | Notification that an account has been or potentially has been compromised. |
| Subcategory | Description |
|---|---|
| Account Levy | Notification of a levy and a restriction on an account. |
| General Message | Service Message regarding a levy. |
| Liquidation Request | Request for assets to be liquidated due to a levy. |
| Modification | Notification that a modification to a levy has been received. |
| Permanent Restriction | Notification of a permanent restriction. |
| Request for Information | Request for additional information on an account. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding Operational and Market Risk. |
| Penny Stock Rejection | Notification of physical penny stock rejection. |
| Subcategory | Description |
|---|---|
| Excessive Trading Notification | Notification of risk warning and trade restrictions from fund companies. |
| Subcategory | Description |
|---|---|
| Account Monitoring Activity | Request for information regarding account activity. |
| Adverse Information Report | Notification of adverse information and/or restriction regarding a client account. |
| General Message | Service Message regarding suspicious account monitoring. |
| Low Priced Security Monitoring | Notification of low price security concerns. |
Accounting & Finance | Cashiering/Money Movement | DVP/RVP Transactions | Margin | Prime Brokerage Transactions | Retirement Contributions/Distributions | Transfer of Assets: Deliveries | Transfer of Assets: Receives
Top| Subcategory | Description |
|---|---|
| General Message | Notification of any non-monetary bank reconciliation items which represent an issue in procedure or best practices. |
| Monetary Trouble-shooting | Request for monetary backup or an adjustment request to clear NFS books. |
| Subcategory | Description |
|---|---|
| Advisor Fee NIGO | Notification that an advisor's fee is NIGO (Not In Good Order). |
| Bank Wire or EFT NIGO | Notification that a bank wire or EFT distribution cannot be processed. |
| Canceled Wire Disbursement | Notification that a wire disbursement has been canceled by NFS Correspondent Bank |
| Change of Ownership NIGO | Notification that a change of ownership is NIGO (Not In Good Order). |
| Check Disbursement /Overnight Mail | Notification that a check disbursement cannot be sent via overnight mail. |
| Check NIGO | Notification that a check distribution cannot be processed. |
| Check Printing Voids | Notification that a check was mutilated during the print process and has been voided. |
| Checkwriting Account Unknown | Notification that a check cannot be processed because the MICR-Line account number is unknown. |
| Checkwriting Non-Processed Checks | Notification that a check cannot be processed because the MICR-Line account number is incorrect. |
| Checkwriting Signature Review | Notification that a check was referred to the advisor for signature review. |
| Foreign Currency Wire Information | Notification regarding a foreign currency wire. |
| Foreign Currency Wire NIGO | Notification that a foreign currency wire request submitted via fax is Not In Good Order (NIGO). |
| Foreign Currency Wire Reject | Notification that a foreign currency wire request submitted via fax has been rejected. |
| General Message | Service Message regarding cashiering and money movement. |
| Journal NIGO | Notification that a journal request cannot be processed. |
| Periodic Transaction NIGO | Notification that a periodic transaction cannot be processed. |
| RPO Voided Checks | Notification that a check was returned and voided. |
| Remote Check Deposit NIGO | Notification that a remote check deposit is not in good order (NIGO). |
| Return Check Notification | Notification that a check deposited has been returned. |
| Stale Dated Awaiting Escheatment Re-Issue/Re-Credit | Notification that a check has become stale dated (over 180 days old) and has moved into the abandoned property account pending escheatment to the states. |
| Tax Change of Circumstance | Notification of a tax related change of circumstance on an account. |
| Trade-Related Check Deposit Notification | Notification that a check deposit has been received that may be trade related. |
| Subcategory | Description |
|---|---|
| Form 151 NIGO Notification | Notification of a Form 151 NIGO (Not in Good Order). |
| Illogical | Notification that a delivery was duplicated and that the second delivery will be retrieved. |
| General Message | Service Message regarding a DVP/RVP transaction. |
| Money Difference | Notification of a credit or debit money difference. |
| Potential Trade Thru | Notification of missing paperwork. (Form 1 to Schedule A, LOFF, SIA 151). |
| Trade Type Errors | Notification that trade(s) were booked in the wrong trade type and need to be corrected. |
| Subcategory | Description |
|---|---|
| Action Items | Notification that action is required (BMGN SPV). |
| Asset Movement Reject | Notification that an asset movement has been rejected. |
| BCAT | Notification that a pending ACAT receive will be rejected. |
| Cash Covered Puts | Notification that additional funds must be deposited or action will be taken. |
| Cross Guaranty | Notification of a guarantee-guarantor relationship. |
| Day Trade Calls | Notification of a day trade call (BMGN DTU). |
| Deficit | Notification that an account is in deficit (BMGN LIQ/BDEF). |
| Delivery Rejects | Notification of a delivery reject. |
| Duplicate Margin Accounts | Notification that a customer holds one or more margin accounts and action is required. |
| Extension Notification | Notification that an account is due for extension or a trade is due for action (BMGN CES). |
| General Message | Service Message regarding margin. |
| High Risk Maintenance Calls | Request for information on when and how the margin call will be covered (BMGN MNT). |
| Margin Agreement Exception | Notification that an account is not coded for margin (BMGN MAX). |
| Margin Agreement Sellout | Notification that an account is not coded for margin (BMGN MAS). |
| Margin Calls Due | Notification that a margin call is due (BMGN MED). |
| Margin Exceptions | Notification that an illogical position exists (BMGN MEX-ILL). |
| Margin/Naked Options in Cash Acct | Notification that there are naked options in the cash account. |
| Multiple Margin | Information on linking more than one margin account. |
| Trade Through Restrictions | Notification that an account traded through its restriction. |
| Subcategory | Description |
|---|---|
| Executing Contra Party Schedule A | Notification of Schedule A received not in good order (NIGO). |
| Subcategory | Description |
|---|---|
| Distribution NIGO | Notification that a general distribution is NIGO (Not In Good Order). |
| General Message | Service Message regarding a retirement distribution or contribution. |
| Retirement Wire Receipt NIGO | Notification that an incoming retirement wire is NIGO (Not In Good Order). |
| Subcategory | Description |
|---|---|
| Escalation | Notification of a transfer escalation. |
| General Message | Service Message regarding delivery of transferred assets. |
| Inbound Claim Initiation | Notification of an inbound claim request. |
| NIGO | Notification that a transfer is NIGO (Not In Good Order). |
| Outbound Claim Initiation | Notification of an outbound claim request. |
| Rejected | Notification that a transfer has been rejected. |
| Subcategory | Description |
|---|---|
| Free Receives | Service Message regarding shares received for a retirement account that requires clarification or documents. |
| General Message | Service Message regarding receipt of transferred assets. |
| NIGO | Notification that a transfer of assets receives request is NIGO (Not In Good Order). |
| Share Aging Information | Notification that share aging information was not received from delivering agent. |
| Transfer Status Notification | Status of a transfer of assets receives request. |
Block Trading | International Operations | Mutual Fund Trading
Top| Subcategory | Description |
|---|---|
| Trade Allocation | Service message regarding Trade Allocation Errors. |
| Subcategory | Description |
|---|---|
| Buy-in | Notification that a buy-in is pending. |
| DVP/RVP Settlement Instructions | Request for settlement instructions. |
| General Message | Service Message regarding international operations. |
| Illogical Trades | Request for detail regarding the cancel & correct and the resolution for a trade. |
| Subcategory | Description |
|---|---|
| CDSC Reclaims | Notification of a CDSC reclaim adjustment initiated by the mutual fund company. |
| General Message | Service Message regarding mutual fund trading. |
| Letter Correction Status | Notification that action has been taken on an ECOR/Letter trade correction. |
| Potential ECOR NIGO | Notification of an ECOR/trade correction request that has been rejected due to missing required information. |
| Roundtrip Trade Warning Notification | Notification of initial roundtrip trade. |
Directed Trustee/Paying Agent | Institutional Transfer of Assets: Deliveries | Trading
Top| Subcategory | Description |
|---|---|
| General Message | Service Message regarding Directed Trustee/Paying Agent account. |
| NIGO | Notification that an account is NIGO (Not In Good Order) and a request for information to resolve. |
| Subcategory | Description |
|---|---|
| General Message | Information regarding a transfer of assets delivery request. |
| NIGO | Notification that a transfer is NIGO (Not In Good Order). |
| Subcategory | Description |
|---|---|
| Risk Notification | Notification of Risk warning and trade restrictions from fund companies. |
| Trade Reject | Notification that a mutual fund trade has been rejected. |
DBS use only.
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding DBS. |
| Subcategory | Description |
|---|---|
| General Message | Service Message regarding DBS. |
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