Back Office Reports Group
- Mercedes Rothwell
- Gints Vaskums
Attention: Back Office reports are available to all back-office users for managing the work items. Back office users can see data for all other users. These reports do NOT report on field data that is not marked as a broker-dealer business.
Checks Received and Forwarded Log
Purpose: List of checks received and forwarded by the back office within the specified date range. Includes all checks.
Parameter | Description |
|---|---|
Date Received From | Date period when the check was received by the back office. |
Date Received To | Date period when the check was received by the back office. |
Date Forwarded From | Date period when the check was forwarded by the back office. |
Date Forwarded To | Date period when the check was forwarded by the back office. |
Rep ID | Enter a Rep ID or an asterisk “*” to see information for all reps. |
Sales Branch | Select a branch code from the list. |
Checks and Securities Audit
Purpose: This report is used to determine for which Checks and Securities the turnaround time has gone beyond the expected threshold number of days.
Parameter | Description |
|---|---|
Check or Security Doc Type * | Select one or several types to look for, for example:
|
Creation Date From | Date period when the document was created. |
Creation Date To | Date period when the document was created. |
Audit Category * | Select from these options:
|
Threshold | The number of days expected for the turnaround of the document. |
Rep ID | Enter a Rep ID or an asterisk “*” to see information for all reps. |
BD Code | Select a Broker-Dealer code from the list. |
Sales Branch | Select a branch code from the list. |
Correspondence Report - BD Version
Purpose: This report allows you to see all types of documents that have been received within Docupace.
Warning: The Date Received must be indexed within the Docupace system to be included in this report.
Parameter | Description |
|---|---|
Date Received From * | Date period when the document was received. |
Date Received To * | Date period when the document was received. |
Document Type * | Select one of the Document Types set up on your site. |
Subfolder Type * | Select one of the Subfolder Types set up on your site. |
Forms Used on Bundles - by Author
Purpose: This report shows a list of form bundles that are assigned to the selected entity, grouped by the form author (the company that creates and maintains the forms). Only the number of forms in each bundle that are actually being used in Work Items is shown.
Report parameters:
Parameter | Description |
|---|---|
Entity * | Select one or several entities to see only form bundles associated with this entity. Multi-tenant sites will display a list of entities that are using the Docupace system. However, in the entity list, you will see only those entities that your user account has access to. |
Securities Received and Forwarded Log Report - BD Version
Purpose: List of security documents received and forwarded by the back office within the specified date range. Includes all checks.
Report parameters:
Field | Description |
|---|---|
Date Received From | Date period when the security was received by the back office. |
Date Received To | Date period when the security was received by the back office. |
Date Forwarded From | Date period when the security was forwarded by the back office. |
Date Forwarded To | Date period when the security was forwarded by the back office. |
Rep ID | Enter a Rep ID or an asterisk “*” to see information for all reps. |
Sales Branch | Select a branch code from the list. |
Signature Guarantee Log Report - BD Version
Purpose: List of all work documents that have been marked with Signature Guarantee Needed. You can search by the Rep ID, a set of Rep IDs, and a sales branch. This is the back office version of the report that allows you to see all representatives’ documents.
Report parameters:
Field | Description |
|---|---|
Document Date From | Date period when the document was created. |
Document Date To | Date period when the document was created. |
Rep ID | Enter a Rep ID or an asterisk “*” to see information for all reps. |
Sales Branch | Select a branch code from the list. |
-
-
-
-
Part 3: Enabling Reports for Docupace Users (Docupace Platform User Guides)
-
Part 1: Enabling Administrative Access to Reports (Docupace Platform User Guides)
-
-
Configuring Docupace Standard Reports (Docupace Platform User Guides)
-
View Detail Reports (Docupace Platform User Guides)
-
AnnuityNet Reports (Docupace Platform User Guides)
-
Pre-Implementation Checklist (Docupace Platform User Guides)
-
-
Dashboard (Docupace Platform User Guides)
-
Widgets View (Docupace Platform User Guides)
-
Administration Tab (Docupace Platform User Guides)
-