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The Fidelity Global Pre-Clearance system can be accessed by using the following URLs:

Internal: https://preclear.fmr.com/
External: https://preclear.fidelity.com/

Fidelity employees who access the application via the Fidelity intranet are authenticated directly via their LAN username and password.


The login screen is used for authenticating people for access to the application from outside of the Fidelity network. It is applicable to:

  • Every Fidelity Fund Access employee and Fund Access contractor/temporary employee.
  • Every Fidelity Non-Access (Core or Investment Advisor) employee associated with a Fidelity Fund Access employee or Fund Access contractor/temporary employee.
  • Every non-Fidelity person associated with a Fidelity Fund Access employee or Fund Access contractor/temporary employee.

Buttons

Sign In:

  • This button authenticates the user and provides access to the application.

Sign Up:

  • This button initiates the registration process for the application.

The Contact Us hyperlink on all screens provides a list of contact numbers and email addresses for the Ethics/Compliance offices of each Fidelity organization.



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HOW DO I REGISTER WITH THE EXTERNAL PRECLEARANCE SITE?

FIDELITY ASSOCIATES (includes Fund Access associates and their covered persons who also work at Fidelity):

1. Go to https://preclear.fidelity.com
2. Click 'Sign Up'
3. Use your Fidelity email address
4. An email containing your access code will be sent to your email address
5. Enter the security code from the email into the screen to continue
6. Once you have been verified click 'Continue' to create a new password
7. Follow the required criteria to create a new password and click 'Submit'
8. For any future log in go to https://preclear.fidelity.com/ and click 'Sign In'. Use your email and new credentials


NON-FIDELITY ASSOCIATE USERS (includes covered persons of Fidelity associates):

1. Have your Fidelity Associate complete the steps under:
    How do I register a covered person with the external preclearance site?
2. Go to https://preclear.fidelity.com
3. Click 'Sign Up'
4. Enter the personal email address that your Fidelity associate used to enroll you
5. An email containing your access code will be sent to the email address provided
6. Enter the security code from the email onto the following screen and click 'Submit'
7. Once you have been verified click 'Continue' to create a new password
8. Follow the required criteria to create a new password and click 'Submit'
9. For any future log in go to https://preclear.fidelity.com/ and click 'Sign In'. Use your email and new credentials



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HOW DO I REGISTER A COVERED PERSON WITH THE EXTERNAL PRECLEARANCE SITE?

FIDELITY ASSOCIATES:

1. Go to 'Person Management'
2. Click 'Add Non-Fidelity Person'. Enter your covered persons First Name, Last Name, and Email Address


HOW DO I RESET MY PASSWORD FOR THE EXTERNAL SITE?

1. Go to https://preclear.fidelity.com
2. Click 'Sign In'
3. Click 'Forgot password?'
4. Enter the email address you signed up with and click 'Continue'
5. An email will be sent that contains a security code. Enter that code and click 'Submit'
6. Microsoft will verify your identity, then click 'Continue' to create a new password
7. Follow the required criteria to create a new password and click 'Submit'



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PRE-CLEARANCE WELCOME SCREEN

The Fidelity Global Pre-Clearance system screens are divided into two separate sections. The left section (navigation bar) contains navigation links to the standard functions of the application, while the right section displays contents specific to screen functionality. A user may at any time select one of the links on the left section to access a different program option.

The standard functions of the application are:

  • Pre-clear a Security
  • View History
  • User Administration

The Contact Us hyperlink on all screens provides a list of contact numbers and email addresses for the Ethics/Compliance offices of each Fidelity organization.


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PRE-CLEAR A SECURITY

The Pre-Clear a Security functionality on the navigation bar allows the user to place a request for pre-clearance on a single transaction at a time. Based on the type of security there are four screens:

  • Pre-clear a Security - Stocks
  • Pre-clear a Security - Options
  • Pre-clear a Security - Bonds
  • Pre-clear a Security - Other


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PRE-CLEAR A SECURITY - STOCKS

Selecting the Stocks link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section and is used to enter the information of the stock that the user wishes to pre-clear. The bottom section is the Security Search section.

Fields on the Security Information Section (Top Section)

Pre-Clearance For

  • This field is visible only for users who are Designees.
  • The drop-down menu lists the names of the designators in alphabetical order, followed by the name of the designee. Designators are shown in mixed case (Smith, John) whereas the Designee's name appears in all CAPS (JONES, MARY).
  • The default name that appears on the menu is the name at the top of the list.

Action

  • This consists of a radio button group with the following options: "Buy," "Sell," and "Sell Short." The user is required to select a single option from this group.

Identifier Type

  • The user is required to select the Security Identifier Type of the security that he/she wishes to pre-clear.
  • The options in this drop-down are "Symbol," "CUSIP," "ISIN" and "SEDOL."
  • If unsure, the user may use the Security Search functionality discussed in the Pre-clear a Security - Security Search section to obtain information about the security he/she wishes to pre-clear.

Identifier Value

  • The user is required to enter the value for the Identifier Type selected with respect to the security that he/she wishes to pre-clear.
  • The user may input alphanumeric characters.
    • CUSIP - must enter 9 characters/numbers
    • ISIN - must enter 12 characters/numbers
    • SEDOL - must enter 7 characters/numbers
    • Symbol - must enter all characters contained in the ticker symbol for the security
  • This field is a dynamic field that displays up to the first ten matching values.

Number of Shares

  • This field is visible to the user only if the "Sell Short" option is selected from the Action radio button group.
  • The user is required to enter the number of shares of the stock that he/she wishes to pre-clear. A pre-clearance approval obtained for this request will be relevant up to the quantity declared by the user. This is a required field when visible and accepts only positive numeric characters up to a maximum of 15 digits.

Buttons

Submit

  • This button initiates the request for approval into the system and navigates the user to the Pre-clear a Security - Confirmation screen.

Reset

  • This button clears out all entry fields and resets all drop-down selections to their default values.


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PRE-CLEAR A SECURITY - OPTIONS

Selecting the Options link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section and is used to enter the information of the option that the user wishes to pre-clear. The bottom section is the Security Search area.

Fields on the Security Information Section (Top Section)

Pre-Clearance For

  • This field is visible only for users who are Designees.
  • The drop-down menu lists the names of the designators in alphabetical order, followed by the name of the designee. Designators are shown in mixed case (Smith, John) whereas the Designee's name appears in all CAPS (JONES, MARY).
  • The default name that appears in the menu is the name at the top of the list.

Action

  • This consists of a radio button group with the options listed below. The user is required to select a single option from this group.
    • Buy Call To Open
    • Buy Put To Open
    • Sell Call To Open
    • Sell Put To Open
    • Buy Call To Close
    • Buy Put To Close
    • Sell Call To Close
    • Sell Put To Close

Identifier Type

  • The user is required to select the Identifier Type of the underlying security for the option contract he/she wishes to pre-clear.
  • The options on this drop-down are "Symbol," "CUSIP," "ISIN" and "SEDOL."
  • If unsure, the user may use the Security Search functionality discussed in the Pre-clear a Security - Security Search section to obtain information about the security he/she wishes to pre-clear.

Identifier Value

  • The user is required to enter the value for the underlying security for the option contract that he/she wishes to pre-clear.
  • The user may input alphanumeric characters.
    • CUSIP - must enter 9 characters/numbers
    • ISIN - must enter 12 characters/numbers
    • SEDOL - must enter 7 characters/numbers
    • Symbol - must enter all characters contained in the ticker symbol for the security
  • This field is a dynamic field that displays up to the first ten matching values.

Number of Contracts

  • This field is visible to the user only if the "Buy Put to Open" or "Sell Call to Open" options are selected from the Action radio button group.
  • The user is required to enter the number of contracts of the option that he/she wishes to pre-clear. A pre-clearance approval obtained for this request will be relevant up to the quantity declared by the user. This is a required field when visible and accepts only positive numeric characters up to a maximum of 15 digits.

Buttons

Submit

  • This button initiates the request for approval into the system and navigates the user to the Pre-clear a Security - Confirmation screen.

Reset

  • This button clears out all entry fields and resets all drop-down selections to their default values.


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PRE-CLEAR A SECURITY - BONDS

Selecting the Bonds link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section that is used to enter the information of the bond that the user wishes to pre-clear. The bottom section is the Security Search area.

Fields on the Security Information Section (Top Section)

Pre-Clearance For

  • This field is visible only for users who are Designees.
  • The drop-down menu lists the names of the designators in alphabetical order, followed by the name of the designee. Designators are shown in mixed case (Smith, John) whereas the Designee's name appears in all CAPS (JONES, MARY).
  • The default name that appears in the menu is the name at the top of the list.

Action

  • This consists of a group of radio buttons with the following options: "Buy" and "Sell." The user is required to select a single option from this group.

Identifier Type

  • The user is required to select the Identifier Type of the security that he/she wishes to pre-clear.
  • The options on this drop-down are "Symbol," "CUSIP," "ISIN" and "SEDOL."
  • If unsure, the user may use the Security Search functionality discussed in the Pre-clear a Security - Security Search section to obtain information about the security he/she wishes to pre-clear.

Identifier Value

  • The user is required to enter the value for the Identifier Type selected with respect to the security that he/she wishes to pre-clear.
  • The user may input alphanumeric characters.
    • CUSIP - must enter 9 characters/numbers
    • ISIN - must enter 12 characters/numbers
    • SEDOL - must enter 7 characters/numbers
    • Symbol - must enter all characters contained in the ticker symbol for the security
  • This field is a dynamic field that displays up to the first ten matching values.

Total Par Value

  • This is the number of bonds the user wishes to trade multiplied by the face value of each bond.
  • This is a required field.
  • This field accepts only numerical characters. Do not enter currency symbols (e.g. $) or commas (,) in the field.
  • The face value of most bonds is $1,000. If the user would like to buy 10 bonds with a face value of $1,000, the user should input 10000 (10 x 1,000) into this field.
  • The user should not enter the amount he/she expects to pay or receive for the bonds. For example, if the bond is trading at a premium and the user will be selling 10 bonds for $1,020, he/she should not enter 10200. The user should enter 10000.
  • A pre-clearance approval obtained for this request will be valid up to the quantity declared by the user.

Buttons

Submit

  • This button initiates the request for approval into the system and navigates the user to the Pre-clear a Security - Confirmation screen.

Reset

  • This button clears out all entry fields and changes all drop-down selections to their default values.


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PRE-CLEAR A SECURITY - OTHER

Selecting the Other link on the navigation bar displays this screen. This screen is divided into two sections. The top section is the Security Information section that is used to enter the information of the bond that the user wishes to pre-clear. The bottom section is the Security Search area.

Fields on the Security Information Section (Top Section)

Pre-Clearance For

  • This field is visible only for users who are Designees.
  • The drop-down menu lists the names of the designators in alphabetical order, followed by the name of the designee. Designators are shown in mixed case (Smith, John) whereas the Designee's name appears in all CAPS (JONES, MARY).
  • The default name that appears in the menu is the name at the top of the list.

Action

  • This consists of a radio button group with the following options "Buy," "Sell" and "Sell Short." The user is required to select a single option from this group.

Identifier Type

  • The user is required to select the Identifier Type of the security that he/she wishes to pre-clear.
  • The options on this drop-down are "Symbol," "CUSIP," "ISIN" and "SEDOL."
  • If unsure, the user may use the Security Search functionality discussed in the Pre-clear a Security - Security Search section to obtain information about the security he/she wishes to pre-clear.

Identifier Value

  • The user is required to enter the value for the Identifier Type selected with respect to the security that he/she wishes to pre-clear.
  • The user may input alphanumeric characters.
    • CUSIP - must enter 9 characters/numbers
    • ISIN - must enter 12 characters/numbers
    • SEDOL - must enter 7 characters/numbers
    • Symbol - must enter all characters contained in the ticker symbol for the security
  • This field is a dynamic field that displays up to the first ten matching values.

Buttons

Submit

  • This button initiates the request for approval into the system and navigates the user to the Pre-clear a Security - Confirmation screen.

Reset

  • This button clears out all entry fields and changes all drop-down selections to their default values.


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PRE-CLEAR A SECURITY - SECURITY SEARCH

The bottom section of each pre-clearance request screen provides the capability for the user to search for additional information associated with a specific security. This option is useful if the user cannot remember a specific detail about a security that is required for pre-clearance such as its symbol, SEDOL or CUSIP values.

Filters

Security Type

  • This drop-down list allows the following choices (in order): "All" (default), "Stocks," "Bonds," "Indexes" and "Other."

Search By

  • This drop-down list allows the user to set the specific search criteria. The choices are (in order): "Security Name" (default), "Symbol," "CUSIP," "ISIN" and "SEDOL."

Search For

  • The user may use this field to enter a value for the security. This value will be used along with other filter values (if any) to find a match for the security being searched.
  • This field accepts alphanumeric characters up to a maximum of 40 characters.

Buttons

Search

  • This button is used to initiate the search request for potential matches.
  • This button is not enabled until search criteria have been entered.

Reset

  • This button clears out entry fields, returns drop-down lists to their defaults, clears any dynamic messages and removes search results (if any).

Security Search Results

This area displays results of a search based on the filter values. The following information is displayed: "Symbol," "CUSIP," "ISIN," "SEDOL," "Security Name," "Security Type," "Market" and "Pre-clearance Window." If more than one security matches the search criteria, then the first one hundred results will be displayed alphabetically by security name. The user can change the sort of the results by clicking on the appropriate heading at the top of the individual columns.


Every record that is returned as a result of a search has a Select hyperlink associated with it. Clicking on this link populates the top section of the screen with the values from the row to which the link is associated (double-clicking produces the same result).


Please note that the search functionality may return securities that are incompatible with the Security Type in context (set via the navigation bar). For example: If "Stocks" is selected from the navigation bar and a search is performed with the following parameters: Security Type = ALL, Search By = Security Name and Search For = NASDAQ the results set would be:


SymbolCUSIPISINSEDOLSecurity NameSecurity TypeMarketPre-clearance Window
Select@CFIN63399U290NASDAQ OTHER FINANCIAL INDEXIndexOpen
SelectQQQX63110R105US63110R1059B1PF8N5NASDAQ PREMIUM IN & GR FD INCStockOTC-OVER THE COUNTEROpen
Select%NASTRMC6311039C4NASDAQ STK MK TRM C DD 4/18/12BondOTC-OVER THE COUNTEROpen
SelectNDAQ631103108US63110310812965107NASDAQ OMX GROUPStockOTC-OVER THE COUNTEROpen
Select6311039D2NASDAQ STK MKT TERM B 11/20/13BondOTC-OVER THE COUNTEROpen


The user in this case is allowed to select only those results that are compatible with the security type in context. In order to be able to select other records the user must first navigate to the screen of that security type. Thus in the example above, the user is allowed to select the second and fourth rows because the security type listed matches the security type selected - that is stock. In order to be able to select the third and fifth rows, the user must first navigate to the Pre-clear a Security - Bond screen.


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PRE-CLEAR A SECURITY - CONFIRMATION

This screen displays the pre-clearance request entered and allows the user to review the data before submitting the request. The following fields are populated on this screen from the relevant Pre-clear a Security screen:

  • For
  • Action
  • Market
  • Security Name
  • Symbol
  • CUSIP (If relevant)
  • ISIN (If relevant)
  • SEDOL (If relevant)
  • Quantity (If relevant)

Buttons

Confirm

  • This button initiates the request for approval of the pre-clearance request. If further input is needed from the user, the user is navigated to the Pre-clear a Security - Questionnaire screen. If not, the processing completes and the user gets navigated to the Pre-clear a Security - Results screen.

Cancel

  • This button discards the request and returns the user back to the relevant Pre-clear a Security screen.


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PRE-CLEAR A SECURITY - QUESTIONNAIRE

Once the user submits the pre-clearance request, the system makes a determination regarding whether additional input is needed from the user and presents this questionnaire screen to the user.

  • Questions are paired with two unselected radio buttons: "Yes" and "No."
  • Statements are presented with unselected checkboxes.

Buttons

Submit

  • This button initiates the request for processing of the additional inputs from this screen and navigates the user to the Pre-clear a Security - Results page.
  • This button is only enabled when all questions have been answered and/or all statements have been acknowledged.

Cancel

  • This button discards the request and returns the user back to the relevant Pre-clear a Security screen. Please note that this action results in an "Incomplete" pre-clearance request and will appear listed as such when looked up in the View History screens.


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PRE-CLEAR A SECURITY - PRE-CLEARANCE RESULT

This screen is divided into two sections. The left section displays the result of the pre-clearance request, whereas the right section displays information from the Pre-clear a Security - Confirm screen. The Pre-clearance ID displayed in the right section is the unique identifier for this pre-clearance request. Possible values for a result could be:

  • Approved - The user has been granted approval to act upon the pre-clearance request.
  • Pending - The pre-clearance request needs review from Ethics Office/Compliance personnel. A user is not allowed to act upon the request until the request is reviewed by the Ethics Office/Compliance personnel and an approval is received. If needed he/she may contact the appropriate Ethics Office/Compliance personnel using the Contact Us link at the top.
  • Denied - The user has been denied approval to act upon the pre-clearance request.

The pre-clearance request date and time, along with the market name are displayed below the result status.


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VIEW HISTORY

This functionality on the navigation bar allows the user to view current and historical pre-clearances.


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VIEW HISTORY CURRENT PRE-CLEARANCES

A current pre-clearance is a request that - if approved - may be acted upon by the user because it was entered during the current market window of the pre-cleared security and that market is still open. Market hours are based on the local time of the market, not the time where the user is located. Pre-clearance results are valid for that day's market session only.

  • Example 1: If the user wishes to trade Sony Corp. on the Tokyo Stock Exchange, the security must be pre-cleared during Japanese market hours and - if approved - can only be traded during that market session. If the user wishes to trade the Sony Corp ADR that trades on the New York Stock Exchange (NYSE), the user must enter that pre-clearance request according to U.S. market hours and place the trade during the NYSE trading session. The pre-clearance on the Japanese market does not grant approval to trade the ADR on NYSE; they must be entered as separate pre-clearance requests.
  • Example 2: If the user enters a pre-clearance request for Bank of America (BAC) at 11:30 AM ET, which trades on the NYSE, the request will be a Current Pre-clearance between 11:30 AM and 5:30 PM ET. It does not matter where the user is located. If the user is in London, he/she would have entered the request at 4:30 PM GMT (11:30 AM ET).
  • Example 3: If the user enters a pre-clearance request for BMW AG at 1:30 PM CET, which trades on the Frankfurt Stock Exchange, the request will be a Current Pre-clearance between 1:30 PM and 5:00 PM CET. It does not matter where the user is located. If the user is in Japan, he/she would have entered the request at 9:30 PM JST (1:30 PM CET).

Filters

Pre-Cleared For

  • This field is visible only for users who are designees.
  • The drop-down menu lists the names of the designators in alphabetical order, followed by the name of the designee. Designators are shown in mixed case (Smith, John) whereas the Designee's name appears in all CAPS (JONES, MARY).

Security Identifier

  • The user may filter the search by the Security Identifier Type of the security that is part of a current pre-clearance request.
  • The options on this drop-down are "Symbol," "CUSIP," "ISIN" and "SEDOL."

Pre-clearance ID

  • The unique number assigned to each pre-clearance.

Result

  • The user may filter the search by the result of a pre-clearance request. The options on this drop-down are: "Approved," "Pending" and "Denied."

Action

  • The user may filter the search by a pre-clearance action. The list of possible actions is described in the Pre-clear a Security sections.

Buttons

Search

  • This button is used to submit the search request for potential matches.

Reset

  • This button clears entry fields, changes drop-down lists to their defaults, clears any dynamic messages, and removes search results (if any).

Results

This area displays results of a search based on the filter values. The following columns appear in the results grid:

  • Pre-clearance ID - The unique number assigned to each pre-clearance. This is a link which navigates the user to the relevant Pre-clear a Security - Pre-clearance Result screen.
  • Pre-Clearance For - Displays only for users who are designees and will contain the name of the persons for whom the users have pre-cleared.
  • Result - Pre-clearance result.
  • Market Date/Time Date and time of the pre-clearance request based on the market of the security being pre-cleared.
  • Action Type of transaction which was requested for the pre-clearance, i.e.: Buy, Sell.
  • Symbol
  • CUSIP Identifier type that is populated if relevant for the security returned in the search.
  • ISIN Identifier type that is populated if relevant for the security returned in the search.
  • SEDOL - Identifier type that is populated if relevant for the security returned in the search.
  • Security - Description of the corresponding security.
  • Potential Short Term Trading - This column appears visible if there are records returned that have a potential Short Term Trading situation. The user should contact the local Ethics Office/Compliance for an explanation of how this rule may affect them.

Export Options

Users may use the following two options to export data from this screen outside the Pre-Clearance system for their review:

  • Excel - This option is enabled only when the search returns a result.
  • Printer Friendly Version This option creates a printer friendly version of the current screen in Portable Document Format (pdf). Please note that the user needs to have a PDF reader installed in order to use this link.


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VIEW HISTORY HISTORICAL PRE-CLEARANCES

The user may use to this screen to search any current or past pre-clearances by using a combination of filters available on this screen.

Filters

Pre-Cleared For

  • This field is visible only for users who are designees.
  • The drop-down menu lists the names of the designators in alphabetical order, followed by the name of the designee. Designators are shown in mixed case (Smith, John) whereas the Designee's name appears in all CAPS (JONES, MARY).

Calendar Date

  • The user may filter the search by selecting a range of pre-clearance dates.
  • The user may not choose dates more than 2 years back from the current date.

Security Identifier

  • The user may filter the search by the Security Identifier Type of the security that is part of a current pre-clearance request.
  • The options on this drop-down are "Symbol," "CUSIP," "ISIN" and "SEDOL."

Pre-clearance ID

  • The user may enter a specific pre-clearance ID.

Result

  • The user may filter the search by the result of a pre-clearance request. The options in this drop-down are "Approved," "Pending" and "Denied."

Action

  • The user may filter the search by a pre-clearance action. The list of possible actions is described in the Pre-clear a Security sections.

Buttons

Search

  • This button is used to submit the search request for potential matches.

Reset

  • This button clears out entry fields, resets drop-down lists to their defaults, clears any dynamic messages and removes search results (if any).

Results

This area displays the results of a search based on the filter values. The maximum number of records that can be returned is one thousand. The results returned may be a combination of current and non-current pre-clearance records. Non-current pre-clearances appear in grey text. The following are the columns that appear in the Results grid:

  • Pre-clearance ID - The unique number assigned to each pre-clearance. This is a link which navigates the user to the relevant Pre-clear a Security - Pre-clearance Result screen.
  • Pre-Clearance For - Displays only for users who are designees and will contain the name of the persons for whom the users have pre-cleared. Past pre-clearances associated with an employee for whom the user is no longer a designee are not shown.
  • Result - Pre-clearance result.
  • Market Date/Time - Date and time of the pre-clearance request based on the market of the security being pre-cleared.
  • Action - Type of transaction which was requested for the pre-clearance, i.e.: Buy, Sell.
  • Symbol
  • CUSIP - Identifier type that is populated if relevant for the security returned in the search.
  • ISIN - Identifier type that is populated if relevant for the security returned in the search.
  • SEDOL - Identifier type that is populated if relevant for the security returned in the search.
  • Security - Description of the corresponding security.
  • Potential Short Term Trading - This column appears visible if there are records returned that have a potential Short Term Trading situation. The user should contact the local Ethics Office/Compliance for an explanation of how this rule may affect them.

Export Options

Users may use the following two options to export data from this screen outside the Pre-Clearance system for their review:

  • Excel - This option is enabled only when the search returns a result.
  • Printer Friendly Version - This option creates a printer friendly version of the current screen in Portable Document Format (pdf). Please note that the user needs to have a PDF reader installed in order to use this link.


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USER ADMINISTRATION

The User Administration functionality on the navigation bar allows the user to perform certain administrative functions within the Pre-Clearance system. The following are the screens available in this section:

  • User Administration - Person Management


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USER ADMINISTRATION - PERSON MANAGEMENT

A user may use this screen to manage the access of additional people associated to him/her within the Pre-Clearance system. The user may choose the following actions:

  • Add a Fidelity/non-Fidelity person The user may add a person (e.g. member of the user�s family) to the system to enable the person to pre-clear using the Pre-Clearance system. The associated person may or may not be a Fidelity employee.
  • Deactivate a person The user may deactivate a person previously added to the system in order to prevent that person from logging in to the Pre-Clearance system.
  • Activate a person The user may reactivate a previously deactivated person.

Buttons

Add Non-Fidelity Person

  • This button allows the user to navigate to the Person Management - Add Non-Fidelity Person screen and add a non-Fidelity person associated with the user to the Pre-Clearance system.

Add Fidelity Non-Access Person

  • This button allows the user to navigate to the Person Management -Add Fidelity Non-Access Person screen and add a Fidelity non-access employee associated with the user to the Pre-Clearance system.
  • Only non-access (Core and Investment Advisor) employees can be added as users to the Pre-Clearance system. If the user is associated with another Fund Access employee, the user should contact the local Ethics Office/Compliance for assistance. Note: if an associated employee changes from non-access (Core and Investment Advisor) to Fund Access, he/she will be automatically deactivated in the system as associated and will access the system under their own profile.

Persons added by the user will appear in a grid at the bottom of the screen. The user may choose the Activate and Deactivate links to change the status of any associated persons.


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USER ADMINISTRATION - PERSON MANAGEMENT (ADD NON-FIDELITY PERSON)

This screen is used to add a non-Fidelity person to the Pre-Clearance application.

Fields

First Name

  • First name of the non-Fidelity person.

Last Name

  • Last name of the non-Fidelity person.

Email Address

  • Use non-Fidelity person personal email address.

Buttons

Submit

  • This button initiates the request to add the new non-Fidelity person to the Pre-Clearance system after validation of all user inputs.

Cancel

  • This button discards the request to add the non-Fidelity person and navigates the user back to the User Administration - Person Management screen.


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USER ADMINISTRATION - PERSON MANAGEMENT (ADD FIDELITY NON-ACCESS PERSON)

This screen is used to add a non-access (Core or Investment Advisor) Fidelity employee to the Pre-Clearance application.

Filters

Last Name

  • Enter the last name of the associated non-access Fidelity employee in order to search by this criterion.

First Name

  • Enter the first name of the associated non-access Fidelity employee in order to search by this criterion.

Corp ID

  • Enter the Corp ID of the associated non-access Fidelity employee in order to search by this criterion.

Buttons

Search

  • This button initiates the search request and displays all matches based on the criteria entered.
  • All potential matches are displayed in the grid below the search area of the screen.
  • In order to add a person to the Pre-Clearance system as an associated person, the user must click on the Add hyperlink next to the returned record. Note: Only non-access (Core or Investment Advisor) employees can be added as users to the Pre-Clearance system.

Reset

  • This button clears entry fields, results and messages (if any).

Cancel

  • This button discards the request and navigates the user back to the User Administration - Person Management screen.


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