3.35.5 Messages for Pre-processing Checks

This topic provides information on messages for pre-processing checks details.

According to the checks listed above, the appropriate messages that would be displayed as a result of performing the pre-processing checks are shown in the table below. A severity level of Warning indicates an optional check, which would not impede the processing of the corporate action if the check fails. A severity level of Critical indicates a mandatory check, which must succeed in order to continue with the processing of the corporate action.

Table 3-72 Messages for Pre-Processing Checks

Message	Severity
Unauthorized Fund	Critical
Unauthorized Fund Price	Critical
Unauthorized Fund Dividend record	Critical
Unauthorized Fund Account	Critical
Unauthorized Fund Agency Branch Backdating Limit Setup	Critical
Unauthorized Fund Sub Account record	Critical
Unauthorized Fund GL record	Critical
Unauthorized WH Tax Setup record	Critical
Unauthorized Periodic Load record	Critical
Unauthorized Switch Privilege Setup record	Critical
Unauthorized Fund Holiday record	Critical
Unauthorized Group Definition	Critical
Unauthorized Fund Sale Restriction record	Critical
Unconfirmed Global Order	Critical
Unauthorized Incoming SWIFT message	Warning
Unprocessed/Repaired Incoming SWIFT message	Warning
Unauthorized Outgoing SWIFT message	Warning
Unprocessed/Repaired Outgoing SWIFT message	Warning
Unauthorized Overridden Loads	Critical
Unprocessed Dividends	Warning
Unprocessed Reinvestments	Warning
Standing Instructions for which Action is not taken after generating the First Reminder or Last Reminder	Warning
Redemptions which are due for Confirmation	Critical
Unauthorized Transactions	Critical
Transactions which are either unallotted, unsettled or partially allotted	Critical
Unexecuted valid Limit Orders	Warning
SIs generating on corporate action date	Warning
Brokers for whom the Commission is pending due	Warning
Periodic loads for the fund for which trailing commission is pending due	Warning
Fund(s) which do not retain ageing to subscription	Warning
Fund(s) which do are not active for corporate action processing	Critical
Number of Special Deals in which the fund belongs to	Warning
Number of LOI(s) in which the fund belongs to	Warning
Number of Income distribution(s) in the fund	Warning
Number of Reinvestment set up into the fund	Warning
Number of Interface Definition(s) in which the fund belongs to	Warning
Number of Job(s) in which the fund belongs to	Warning
Fund(s) in which Holding Period is applicable	Warning
Fund(s) in which Minimum Registered Capital > 0	Critical
Fund(s) in which minimum number of Unit Holders is greater than 0	Critical
Fund in which Switch Out transaction type should be maintained	Critical
Fund in which Switch In transaction type should be maintained	Critical
Fund in which fraction is not allowed but rounding rules for units is not TRUNCATE	Critical