Financial Services: Investment Firms

Improve productivity for investment professionals.

When markets shift, how will you know when you are not at your desk? Will you be in a position to advise and execute on timely decisions for your clients?


Challenge for Investment Firms


Market information and financial transactions continue to be commoditized. Investment institutions understand that trust and value in client relationships is dependent on deep market insight, risk management expertise, and offerings tailored to clients' situations and preferences.


AT&T works with banks to provide compelling mobile solutions for their strategic initiatives, including:


  • Mobile productivity
  • Business continuity
  • Compliance management


Improve Productivity with Mobile Enterprise Data


Wireless solutions powered by AT&T provide investment professionals with the ability to stay informed, collaborate on solutions, and execute on decisions. AT&T collaborates with clients to provide mobility solutions for:


  • Financial Advisors—Prospect for new business and manage your existing book of business by accessing account and transaction reports, client holdings, and notes
  • Investment Bankers—Manage deal development, track client and market developments, and collaborate
  • IT Managers—Open, update, and close trouble tickets and access knowledge base articles while away from your desk
  • Portfolio Managers—Place market orders, check and respond to compliance alerts, review analyst reports, and analyze market data feeds to track watchlists
  • Research Analysts—Stay informed, collaborate, and communicate analysis with access to real-time market data and reports
  • Wholesalers—Effectively manager distribution and prospecting activities with past performance, rep and customer preference information, and the ability to deliver on commitments from the road


Address Compliance Requirements


FINRA regulations now require investment firms to archive all multi channel mobile communications including email, SMS, MMS, webmail, IM, and pin-to-pin. One option is to enforce policies by blocking functionality. However this option often is found to reduce the effectiveness of mobile devices, impact user satisfaction, and block popular communications for collaboration and business continuity.


AT&T works with compliance managers to identify solutions that address company policies and industry regulations while providing the full functionality of their mobility investment. Compliance management solutions can address the following objectives:


  • FINRA regulations
  • Sarbanes Oxley
  • Message archiving and review
  • Real-time ethical wall enforcement


Enhance Risk Management and Business Continuity Plans


Risk managers and business continuity teams are looking for options to streamline their organization’s preparedness. AT&T provides a variety of wireless solutions for optimizing business continuity strategies with solutions for:


  • Risk Managers—Gain access to business continuity plans, track and dispatch people and assets, collaborate, and communicate broadly or to specific audiences on a mobile device
  • Remote Field Office Networking—Access enterprise applications and communications tools by laptop or mobile device in remote field offices
  • Branch-data Backup—In the event of wireline connectivity interruptions, branch-data backup solutions with wireless wide area network (WWAN) provides broadband connectivity for priority applications


How can wireless data solutions improve client relationships and ROI for your organization? Ask an AT&T business expert.


 Important Information

Industry Topics


Mobile Risk Management
Mobile Compliance Management
AT&T Business Continuity

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