After submitting a Create, Modify or Stop SWP request, a ticket is created in the Plan Pipeline. Use this guide to effectively track each stage, understand the workflow, and quickly address rejections.
How to Find Systematic Withdrawal Plan Tickets
You can find your submitted SWP ticket in two places:
- The right-side panel under Tickets on the Client’s CRM Contact Record
- In the Plan Pipeline (CRM → Tickets → Plan Pipeline)
SWP Workflow and Pipeline Stages
Below is the typical workflow a SWP ticket follows, outlining the various stages of the process, the roles responsible for each task, the specific actions being taken at each step, and the expected timelines for completion.
Create a SWP Workflow and Pipeline Stages
Stage: In Review
Action Item: Portfolio Manager Review
- When required: If submitted by someone other than the assigned Portfolio Manager.
- Assigned to: Portfolio Manager
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What’s happening: Ensuring suitability of instructions.
- SLA: Same-day
- Next Step: Moves to Pending Action (In Process) upon approval.
Stage: In Process
Action Item: Pending Action
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Assigned to: Money Movement Team
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What’s happening: Reviewing SWP creation request and preparing updates.
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SLA: Within 24 hours
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Next Step: Moves to Transmitted upon submission.
Action Item: Transmitted
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Assigned to: Money Movement Team
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What’s happening: Submitting SWP creation to the custodian system.
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SLA: 1–2 business days
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Next Step: Moves to Completed upon confirmation.
Stage: Completed
- What’s happening: Ticket is closed and finalized. No further action required.
Modify a SWP Workflow and Pipeline Stages
Stage: In Review
Action Item: Portfolio Manager Review
- When required: If submitted by someone other than the assigned Portfolio Manager.
- Assigned to: Portfolio Manager
-
What’s happening: Ensuring suitability of instructions.
- SLA: Same-day
- Next Step: Moves to Pending Action (In Process) upon approval.
Stage: In Process
Action Item: Pending Action
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Assigned to: Money Movement Team
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What’s happening: Reviewing SWP modification request and preparing updates.
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SLA: Within 24 hours
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Next Step: Moves to Transmitted upon processing.
Action Item: Transmitted
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Assigned to: Account Administration
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What’s happening: Submitting SWP modification to the custodian system.
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SLA: Same-day
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Next Step: Moves to Completed upon successful transmission.
Stage: Completed
- What’s happening: Ticket is closed and finalized. No further action required.
Stopping a SWP Workflow and Pipeline Stages
Stage: In Review
Action Item: Portfolio Manager Review
- When required: If submitted by someone other than the assigned Portfolio Manager.
- Assigned to: Portfolio Manager
-
What’s happening: Ensuring suitability of instructions.
- SLA: Same-day
- Next Step: Moves to Pending Action (In Process) upon approval.
Stage: In Process
Action Item: Pending Action
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Assigned to: Money Movement Team
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What’s happening: Reviewing SWP stop request and preparing instructions for transmission.
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SLA: Within 24 hours
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Next Step: Moves to Transmitted upon processing.
Action Item: Transmitted
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Assigned to: Money Movement Team
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What’s happening: Submitting SWP stop instructions to the custodian system.
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SLA: Same-day
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Next Step: Moves to Completed upon confirmation.
Action Item: Completed
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Assigned to: Money Movement Team
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What’s happening: Final internal confirmation of the SWP stop.
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SLA: Same-day
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Next Step: Moves to Completed stage.
Stage: Completed
- What’s happening: Ticket is closed and finalized. No further action required.
Handling Rejected SWP Requests
If your request is rejected, the ticket will clearly indicate why. Common rejection reasons include:
- Request submitted outside the minimum timeframe ( SWP creations and modifications must be submitted 14 calendar days before the first/next payment date)
- Duplicate ticket submitted (a similar request already exists or is pending)
- Modify amount for more than one payment ahead (SWP modifications can only apply to the next scheduled payment, not multiple future payments)
- Incorrect Banking (the banking information provided is invalid, incomplete, or does not match the client’s records)
If your request was rejected, resolve the noted issue, then submit a new SWP request.
Tracking Your Ticket & Next Steps
Monitor progress regularly through pipeline stages outlined above. If you’re responsible for actioning tickets, see:
- How to Action Tickets