Pre-Flight Audit

The Investment Safety Audit:
15 Critical Checks Before You Transfer Money

Pilots don't take off without a checklist. Doctors don't operate without one. Why would you transfer your life savings based on a "hot tip"? This is your mandatory audit to ensure 100% compliance and safety.

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Standard Operating Procedure Security Protocol Alpha

The "Zero-Trust" Policy

Assume every investment is a scam or a bad deal until it proves otherwise. Do not rely on the reputation of the person selling it. Rely on documents, databases, and mathematics.

Phase 1: Regulatory & Legal Verification

Before looking at returns, we must confirm the entity exists legally.

CHECK 01

SEBI / RBI Registration Check

Does the entity have a valid license number? (e.g., INA000012345). Go to the official SEBI Intermediaries Database and search that number.

Pass Condition: Name on database matches website exactly.
Fail Condition: "No record found" or name mismatch.

CHECK 02

The "Sovereign" Test

Is this a government scheme (PPF, SSY)? If yes, are you applying through a verified bank or post office portal? If it's a private "Govt-approved" agency, verify their authorization letter.

CHECK 03

Payment Gateway Audit

Where is the money going? It must go to a Corporate Current Account or a Clearing Corporation (like ICCL/NCL). Never transfer to a personal savings account or UPI ID.

Phase 2: Mathematical Viability

Scams often promise math that doesn't exist. Real investments follow the laws of compounding.

CHECK 04

The "Risk-Free" Rate Comparison

The current Government Bond yield is roughly 7%. If an investment offers 12% "Guaranteed," it is mathematically lying. To get 12%, risk MUST be taken.

CHECK 05

Calculate the Reality

Don't blindly believe the brochure's "Future Value". Use a neutral calculator to verify if the maturity amount makes sense.

The Truth Machines

Use these tools to audit their promises. If the calculator says one thing and the agent says another, trust the calculator.

Phase 3: Product Specific Checks

CHECK 06

Mutual Funds: Expense Ratio

Are you buying a "Regular" plan or a "Direct" plan? Regular plans have higher expense ratios (commission to agents). Always prefer Direct plans for 1% extra return.

CHECK 07

Insurance: The "Investment" Trap

Is this a ULIP or Endowment plan? Remember: Insurance is for protection, not investment. Returns in these plans are often 4-5% (lower than inflation). Keep Insurance and Investment separate.

CHECK 08

Real Estate: RERA ID

Does the project have a RERA registration number? Verify it on the state RERA website to check for pending litigations or delays.

Phase 4: Red Flags & Psychology

  • Urgency Tactics: "Offer expires tonight!" Real investments are always open. Urgency is a scammer's tool.
  • Complex Jargon: If they can't explain how they make money in one sentence, they are hiding risk.
  • The "Exclusive" Club: "Only for selected investors." Scammers use ego to bypass your logic.
  • Recruitment Requirement: If you have to bring two friends to earn money, it is a Pyramid Scheme, not an investment.

Conclusion: The Power of "No"

The most powerful tool in investing is the ability to say "No" when a check fails. It is better to miss a good opportunity than to lose your capital in a bad one. Keep your money in a boring Fixed Deposit until you find an opportunity that passes all 15 checks.

Frequently Asked Questions

Is it safe to invest via apps like Groww or Zerodha?

Yes, provided they are SEBI registered stock brokers. However, always remember that these apps are just platforms. The safety of your investment depends on the stock or mutual fund you choose to buy, not just the app you use.

What if an influencer recommends a stock?

Treat it as entertainment, not advice. Many influencers are paid to promote "Pump and Dump" schemes. Apply this 15-point checklist to their recommendation. If it fails even one point, ignore it.