1.17.3.1 Pre-Checklist

This topic gives the lists of Pre-Checklist and its description.

User will find the following Pre-Checklist.

Table 1-23 Pre-Checklist and Description

Serial Number	Description	Mandatory /Optional	Tab Name
1	Number of Unauthorized Transactions for the Unitholders	Mandatory	Pre Check
2	Number of Unallotted/Unsettled Transactions for the Unitholders	Mandatory	Pre Check
3	Number of Redemptions due for confirmation	Mandatory	Pre Check
4	Number of Ungenerated Pseudo Switch Transactions	Mandatory	Pre Check
5	Number of Ungenerated BnB Switch Transactions	Mandatory	Pre Check
6	Number of Ungenerated Twitch Transactions	Mandatory	Pre Check
7	Number of Block Transactions available for the unitholder	Mandatory	Pre Check
8	Number of Transactions which are yet to be completed	Mandatory	Pre Check
9	Number of Unprocessed dividend reinvestments	Mandatory	Pre Check
10	Number of Periodic Load commission record for which Transactions is yet to be generated	Mandatory	Pre Check
11	Number of Multiswitch Transactions for which residual is yet to be generated	Mandatory	Pre Check
12	Number of Unauthorized CIFMerge/ HierarchyChange	Mandatory	Pre Check
13	Number of Unitholder's Fund not mapped to Destination Branch	Mandatory	Pre Check
14	Number of Unitholder's Fund in book closing period for Corporate Actions	Mandatory	Pre Check
15	Number of Active Standing Instruction for the unitholder	Mandatory	Pre Check
16	Number of Local Entities Linked to underlying Unitholder as Transaction Intermediary Agents	Mandatory	Pre Check
17	Number of Local Entities Linked to underlying Unitholder as Transaction Intermediary BranchCode	Mandatory	Pre Check
18	Number of Local Entities Linked to underlying Unitholder as Transaction Intermediary AccountOfficer	Mandatory	Pre Check
19	Number of Local Entities Linked to underlying Unitholder as Transaction Intermediary IFA	Mandatory	Pre Check
20	Number of Deals in which the Unitholder or CIF is Linked	Optional	Pre Check
21	Number of LOI setup in which the Unitholder or CIF is Linked	Optional	Pre Check
22	Number of IDS setup in which the Unitholder is Linked	Optional	Pre Check
23	Number of Limit orders for Unitholder which is setup but not executed	Optional	Pre Check
24	Number of Reinvestment setup in which the Unitholder is Linked	Optional	Pre Check
25	Number of Unitholder COE setup in which the Unitholder is Linked	Optional	Pre Check
26	Number of Unitholder NPI setup in which the Unitholder is Linked	Optional	Pre Check
27	Number of Unit Holder Non Tax Limits setup in which the Unitholder is Linked	Optional	Pre Check
28	Number of Unit Holder IRRF Preference setup in which the Unitholder is Linked	Optional	Pre Check
29	Number of Unit Holder Dividend Component Override setup in which the Unitholder is Linked	Optional	Pre Check
30	Number of Unprocessed dividends for the Unitholder's Fund for which freezeholding is done	Optional	Pre Check
31	Number of Standing Instruction paused for the unitholder	Optional	Pre Check
32	Number of Standing instruction with DRSP enabled for Unitholder	Optional	Pre Check
33	Number of Standing instruction with RIS enabled for Unitholder	Optional	Pre Check
34	Number of Standing Instruction which are going to be generated the next day	Optional	Pre Check
35	Number of Local Entities Linked to underlying Unitholder as Banks	Optional	Linked Entities
36	Number of Local Entities Linked to underlying Unitholder as Branches	Optional	Linked Entities
37	Number of Local Entities Linked to underlying Unitholder Intermediaries as Agents	Optional	Linked Entities
38	Number of Local Entities Linked to underlying Unitholder Intermediaries as Branches	Optional	Linked Entities
39	Number of Local Entities Linked to underlying Unitholder Intermediaries as AccountOfficer	Optional	Linked Entities
40	Number of Local Entities Linked to underlying Unitholder Intermediaries as IFA	Optional	Linked Entities
41	Number of Local Entities Linked to underlying Unitholder as Nominees	Optional	Linked Entities
42	Number of Local Entities Linked to underlying Unitholder as Joint Holders	Optional	Linked Entities
43	Number of Local Entities Linked to underlying Unitholder as Beneficiaries	Optional	Linked Entities
44	Number of Local Entities Linked to underlying Unitholder as Related parties	Optional	Linked Entities
45	Number of Local Entities Linked to underlying Unitholder as Directors	Optional	Linked Entities
46	Number of Local Entities Linked to underlying Unitholder as Legal Entities in KYC section	Optional	Linked Entities
47	Number of Local Entities Linked to underlying Unitholder as AMC	Optional	Linked Entities
48	Number of Local Entities Linked to Promoted CIF as Directors	Optional	Linked Entities
49	Number of Unitholders having Conversion CIF as Nominee	Optional	Linked Entities
50	Number of Unitholders having Conversion CIF as Joint Holder	Optional	Linked Entities
51	Number of Unitholders having Conversion CIF as Related Entity	Optional	Linked Entities
52	Number of Unitholders having Conversion CIF as Beneficiary	Optional	Linked Entities
53	Number of Unitholders having Conversion CIF as Directors	Optional	Linked Entities