Investment Internal Audit Report
Overview of IL309
Certain investment transactions cause the creation of internal audit transactions. Typically any transaction associated with an organizational staff member will create an internal audit transaction. These audit transactions can then be monitored based on a user-defined date range. The purpose of this report is to verify that staff members are not creating unnecessary transactions that benefit themselves or other staff members. The internal audit transactions will have a transaction id of 990. Audit transactions will also be created when normal transaction activity is performed on investments linked to dormant accounts or constituents marked as “deleted” in the name and address system. The report output displays the registration number, registration name/address information, investment number, transaction ID and description, the reason for the audit, and the date of the transaction. To run this report:
- From the DDI Connect main menu, double-click Financial Services
- Double-click Investments
- Double-click Reports
- Double-click 309 Investment Internal Audit Report. The parameters screen will launch:
The following fields are available on this screen:
| Field | Description |
|---|---|
| Start date | Enter the beginning date of the range you wish to report on. You can type the date in mm/dd/yyyy format or click the calendar icon to select the date |
| End date | Enter the ending date of the range you wish to report on. You can type the date in mm/dd/yyyy format or click the calendar icon to select the date |
Print Options
After clicking the Print Options button you will see the following options. Choose the desired options and click OK to return to the report parameters screen.
| Option | Description |
|---|---|
| Printer | Click the drop down arrow to select from a list of available printers. DDI Connect uses your default printer unless told otherwise |
| Format | Click the drop down arrow to select from a list of available formats. Select paper size, number of columns, and number of rows for printing. Each report has built-in format defaults. Select “Use Defaults” to use the built-in report defaults. The number of rows and columns controls the print size and amount of information per page |
| Memo | If you wish, you can add a memo to the output of the report. NOTE: It is recommended that Word documents be saved with the .docx extension |
| View Report | This option generates a pdf file that is displayed on the screen when the report is generated |
| Archive Report | If this option is selected, the system will archive the report in the DDI Connect report archives. For information on working with archived reports, please reference this page: Archived Report Viewer |
| Print Report | If selected, the system will generate the report output to your default printer. NOTE: You will also receive a pdf version of the report, displayed on your screen |
| Print via PDF | Prints directly to your printer. |
| This option allows you to send a .pdf attachment of the report to the indicated users' email addresses. When OK is clicked, a dialog box will open requesting a recipient | |
| Duplex/Top | Prints the report on both sides of the paper in landscape style. The printer must be capable of printing on both sides or an error will occur |
| Duplex/Side | Prints the report on both sides of the paper in portrait style. The printer must be capable of printing on both sides or an error will occur |
| Green bar | Adds shaded, horizontal bars to the report, making it easier to read across columns |
| No dialog | Selecting this option means that no ‘Report Completed’ dialog will display after the report has been generated |
| Extra copies | If you want extra copies of the report generated, type the number in this field |
Click Start. The system will generate the report based on the date(s) you selected, and display the results. Click below to view a sample of this report.
Security Function
Users must pass the security function listed below in order to run this report.
INVINQ
