Overview
You use the Service Messages functionality within Service Center to view and respond to outbound communication from Fidelity to your firm regarding a service matter. Your response to a Service Message
may be Required, Optional, or Not Allowed. Based on its Status, you may take action on or subscribe to an alert for the Service Message. The period of time a Service Message remains in the grid is a function of time and its Status.
NOTE: The text in the Response Due field within Service Center turns red within 2 hours of a deadline and the item auto-sorts to the top of the grid.
Fidelity creates these messages in one of two ways:
- Manually: Created and sent by a Fidelity associate, perhaps regarding a trade-type error in a specific account. In this case, the Service Message would be account-specific.
- Automatically: Generated and sent automatically without personal intervention by one of Fidelity's internal systems, possibly as a result of an update to a compliance regulation. For this instance, the Service Message would be firm-directed.
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Service Message Details
You can open a message to view its details. The Service Message Details screen is organized into the following sections:
- Service Message Summary: Contains information about the Service Message such as its Category, Subcategory, Status, servicing area, and tracking number.
- History (N): Displays the events and actions that have occurred for the Service Message; N indicates the number of events. Select the entry to display an abbreviated note or memo specific to the line item, if available.
- Service Message Details: Displays information that is specific to the Service Message, including whether a response is required, when the response is due, and whether additional action is required.
- Attachments (N): Displays links to any attachments associated with the Service Message (if applicable); N indicates the number of attachments.
- Notes (N): Displays any notes related to the Service Message (if applicable); N indicates the number of notes.
- Priority (Service Message): Checkbox indicating if the Service Message has been, or can be, marked as a priority by Fidelity.
The buttons that display on the Message Details screen vary depending on whether a response or additional action is required.
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Viewing a Service Message
- To display the details screen for a selected Service Message in the Service Center grid:
Select (highlight) the row of the desired Service Message. Then right-click and select View Request Details in the shortcut menu that displays.
OR
Double-click the desired Service Message.
- When you finish viewing the selected message, select the X button to close the Service Message Details screen.
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Responding to a Service Message
NOTE: Select the Cancel link on the Respond screen at any time to cancel your response, ignore any information you entered, and return to the Service Message Details screen.
If a response is Required or Optional, and if you are entitled, you may respond to a message. A priority message is indicated by an Exclamation Point icon to denote its priority Status.
If a message has a due date that is expiring within two hours, or is past due, the date and time information in the Response Due column displays in red.
- To display the details screen for a selected Service Message in the Service Center grid:
Select (highlight) the row of the desired Service Message. Then right-click and select View Request Details in the shortcut menu that displays.
OR
Double-click the desired Service Message.
- On the Service Message Details screen, select the Respond button.
- Enter your response in the text box.
- If you wish to add an attachment, select the Add Attachment link.
NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
- If you are responding after the Response Due date/time, select the I acknowledge... checkbox to enable the Submit button.
- Select the Submit button.
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Closing a Service Message
You can close a message only when a response is Not Allowed or Optional. You cannot close a message if a response is Required or if you have already responded to the message.
Once a message is Closed (Status of Resolved), you cannot add a note or attachment to it. If you wish to do so, you must reopen the message and then respond to it.
- To display the details screen for a selected Service Message in the Service Center grid:
Select (highlight) the row of the desired Service Message. Then right-click and select View Request Details in the shortcut menu that displays.
OR
Double-click the desired Service Message.
- Select the Close button to close the selected message. An activity is logged in the History showing your User ID as the one that closed the message and a Status of Resolved.
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Reopening a Service Message
You can only reopen a message that your firm Closed (Status of Resolved).
- To display the details screen for a selected Service Message in the Service Center grid:
Select (highlight) the row of the desired Service Message. Then right-click and select View Details in the shortcut menu that displays.
OR
Double-click the desired Service Message.
- Select the Reopen button to reopen the selected message.
- Enter a note explaining why you are reopening the message.
- If you wish to attach a file to the Service Message, select the Add Attachment link. NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
- Select the Submit button. The Status of the message automatically changes to Reopen and then changes again to Awaiting Client Review.
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Pending a Service Message
If you want to acknowledge that you read a Service Message, but do not want to close it (e.g., You must attach paperwork that you do not have at this time.), you can pend the message. In order to pend a message, it must have a Status of Awaiting Client Review and either of the following conditions must be true:
- Response is Required or Optional
- Addl Action Req'd is Yes
- To display the details screen for a selected Service Message in the Service Center grid:
Select (highlight) the row of the desired Service Message. Then right-click and select View Details in the shortcut menu that displays.
OR
Double-click the desired Service Message.
- Select the Pend button. The Status changes to Pending.
- Select the Close button to close the message.
OR
Select the Close link to to close the Service Message Details screen.
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Subscribing to Service Item Alerts
Overview
NOTE:
- Service item alert subscriptions are available for both Service Requests and Service Messages.
- Please see Alert Manager for additional alert information.
You can subscribe to and receive alerts for a specific service item. The service item must be either a Service Request or Service Message with an Open Status. You choose the status changes that trigger the alert and specify up
to three email addresses for its delivery. Regardless of whether you specify a delivery option, you can view these alerts on the All Alerts Tab in Alert Manager.
When you subscribe to a service item alert, you have the option to unsubscribe from its associated Subcategory alert, provided it is not a mandatory alert. If you subscribe to alerts at both levels, the subscription settings at
the service item level override those at the Subcategory level. Changes to subscriptions at the Subcategory level have no impact on subscriptions and alerts at the service item level. Also, any alerts you receive
for the service item do not result in duplicate alerts at the Subcategory level.
Subscribing to the Alert
NOTE: Select the Cancel link at any time to close the screen without subscribing to the alert.
- Select the Set Up Alerts link on the Service Message Details screen. The Subscribe to Alerts for this Service Message pop-up screen displays.
- Select the checkbox(es) associated with the statuses for which you wish to be notified.
NOTE: If you are subscribed to a mandatory alert at the Subcategory level, the mandatory alert statuses are grayed out and you cannot deselect them.
- If you are subscribed to a non-mandatory alert at the Subcategory level and wish to unsubscribe from it, select the Unsubscribe from Subcategory Alerts link.
- Select the checkbox(es) associated with the available email addresses in the Delivery Options section of the screen to specify those you wish to receive the alert notification. If no email address exists in Alert Manager, you may include up to the maximum of three Delivery Options. Once established, email addresses are updated or deleted within Alert Manager.
- When you complete your selections, select the Set Up Alerts button.
- A confirmation message displays on the Service Message Details screen indicating the alert subscription was processed and the link changes to Manage Alert Options.
NOTE: Select this link to make modifications to the subscription or to unsubscribe from the alert.
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Modifying the Subscription
NOTE: Select the Cancel link at any time to close the screen without making any changes to the alert subscription.
You can make modifications to the service item alert subscription, which include changing Status filters and/or delivery options.
- Select the Manage Alerts link on the Service Message Details screen. The Manage Alerts for this Service Message pop-up screen displays.
- Revise the statuses for which you wish to be notified by selecting or deselecting the associated checkbox(es).
- Revise the email addresses in the Delivery Options section of the screen that you wish to receive the alert notification by selecting or deselecting the associated checkbox(es).
- When you finish making the necessary modifications, select the Submit button. The pop-up closes and a confirmation message concerning the modifications displays on the Service Message Details screen.
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Unsubscribing from the Alert
NOTE: Select the Cancel link at any time to close the pop-up screen without making any changes to the alert subscription.
When you unsubscribe from the service item alert, the subscription no longer displays in the Item Level Subscriptions Tab in Alert Manager and you no longer receive the alert.
- Select the Manage Alerts link on the Service Message Details screen. The Manage Alerts for this Service Message pop-up screen displays.
- Select the Unsubscribe link. A pop-up verification screen displays.
- Select the Cancel link to close the pop-ups and ignore any changes you made.
OR
Select the Unsubscribe button to close the pop-ups and complete the unsubscription process.
A confirmation message concerning the unsubscription displays on the Service Message Details screen and the link reverts to Set Up Alerts.
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Statuses
The following tables contain descriptions of the Statuses that may be associated with your Service Messages as they are processed.
NOTE:
- All Service Messages are stored indefinitely by Fidelity. Historical items are also available by performing an Advanced Search and selecting to include archived items.
- Messages that do not require a response and remain in Pending Status are archived after 10 to 90 days depending on the specific item type.
- Messages that do not require a response and are not read (remain in a Status of Awaiting Client Review) are archived after 31 days (30 calendar days following the last update).
- Messages that have a response timeframe less than 30 calendar days from their create date and are not read (Status of Awaiting Client Review) are archived after 31 days (30 calendar days following the last update).
- Closed messages are visible for 90 days after the close date and are archived on day 91 (90 calendar days following the last update).
- Messages that are not updated for one year (365 days) are archived on day 366.
Open Statuses
| Status |
Description |
| Awaiting Client Review |
A response is required for the given Service Message, but neither you nor someone from your firm has reviewed it yet. |
| In Process |
Fidelity is working on your request but cannot make a final determination on its processing (e.g., Resolved, NIGO, or Rejected/Unable to Process) at this time. |
| Not In Good Order (NIGO) |
Fidelity received your or your firm's response to the Service Message, but deemed it is not in good order (NIGO). Additional information must be provided in order for Fidelity to process it. |
| Pending |
Either you or someone in your firm pended the message before responding to it or taking additional action. |
| Responded |
Either you or someone in your firm sent a response to the message to Fidelity. |
| |
| NOTE: The following statuses only apply to a limited number of users. |
| Approved HO |
Service Message was approved for processing by the home office. |
| Not In Good Order (NIGO) HO |
The home office received the message, but deemed it not in good order. Additional information must be provided by the client in order to process it. |
| Pending HO Approval |
The home office received the message, but it is not yet approved. |
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Closed Statuses
| Status |
Description |
| Archived as Read |
Service Messages in the Awaiting Client Review Status that were not processed within the accepted timeframe (between 10 and 90 days depending on the subcategory). |
| Cancelled |
Service Messages are cancelled by Fidelity if the message is no longer necessary and it has not been updated by your firm. |
| Rejected/Unable to Process |
Fidelity received a response to a Service Message, but either was unable to process it or rejected it. |
| Resolved |
Either you or someone in your firm closed the message and Fidelity deemed it is in good order (IGO). |
| |
| NOTE: The following statuses only apply to a limited number of users. |
| Resolved HO |
Service Message was resolved by the home office. |
| Rejected HO |
Service Message was rejected by the home office. |
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