Investment Banker and Research Analyst Analyze Research Literature to Send to Client

An investment banker for a sell-side institutional firm is reviewing one of her accounts to decide what research literature she must send to her client. The client’s profile suggests a conservative stance and includes significant cash on hand. The investment banker decides to send some literature about various secured fixed-income instruments. The banker creates a service request for the literature distribution and assigns it to a research analyst at her firm.

The research analyst receives a service request to send literature to a client. The analyst determines the literature to send to the client. He then creates a new email, attaches the required literature, and sends it to the client.

In this scenario, users are bankers and research analysts. They enter information in Siebel Finance to:

• Add new investors

• Display an investor organizational chart

• Add investor holdings

• Add coverage team members and track coverage roles

• Display a list of transactions or holdings by investor