Review investment banking client coverage by finding records that lack a clear owner, current evidence, a specific coverage objective, or a dated next action. Use Aurora to assemble and prepare the review from available Finta context, then have the responsible bankers decide what advances, pauses, changes owner, or stops.
What this workflow produces
| Input | Review step | Output |
|---|---|---|
| Selected client and counterparty records | Resolve identity and current coverage owner | Clean review set |
| CRM stages and active opportunity context | Compare state with recorded evidence | Exceptions and conflicts |
| Permitted inbox, calendar, document, and note context | Identify recent activity, promises, questions, and stale records | Source-visible coverage brief |
| Available network evidence | Review possible relationship paths | Path to verify, not a promised introduction |
| Firm rules and reviewer roles | Apply permissions, approvals, and safe stops | Approved task, draft, reassignment, hold, or closure |
Run this as an operating review, not a mandate-scoring exercise. The workflow does not determine which client will engage or which opportunity will close.
Before you begin
Define:
- The records and stages included in the review.
- The system that owns authoritative market, transaction, valuation, diligence, and compliance data.
- The people allowed to view each relationship and opportunity.
- The definition of “current” for your coverage motion.
- The actions Aurora may prepare or complete and the actions that require additional review.
- The safe stop for restricted, duplicated, ambiguous, or unowned records.
Do not connect or copy information unless the firm is authorized to use it for this workflow.
Step 1: Build the review set
Filter the relevant Finta CRM records by coverage stage, tag, owner, deal, or other approved working field. Exclude closed, restricted, or out-of-scope records according to firm policy.
Ask Aurora to return the records that meet at least one exception:
- No accountable owner.
- No stated coverage objective.
- No verified interaction within the team’s currentness window.
- No dated next action.
- An open promise or request without an owner.
- More than one banker appears to be running the same outreach.
- A relationship path is recorded but has not been verified with the possible connector.
Step 2: Assemble a source-visible brief
For each exception, ask Aurora to check only the available, permitted Finta sources and supported connections. A useful brief contains:
- Resolved person and company identity.
- Current CRM stage, owner, and active objective.
- Last verified interaction and its source date.
- Open promises, questions, or requests.
- Available relationship sources and the evidence behind them.
- Conflicting or missing information.
- One proposed next action with a responsible owner.
Aurora can take these multi-step preparation actions across supported Finta context, while exposing source, tool, and permission boundaries. It should not silently turn an inference into a client fact.
Step 3: Review coverage collisions
Bring all records with multiple owners, recent parallel outreach, or overlapping opportunity claims into a human review. Decide:
- The primary coverage owner.
- Which colleagues remain contributors.
- Whether outreach should be combined, sequenced, paused, or stopped.
- Which relationship context may be shared.
- Where the decision must be recorded.
A relationship score alone should not settle ownership. Coverage is a firm operating decision.
Step 4: Choose one disposition
| Disposition | Required receipt |
|---|---|
| Advance | New stage, reason, owner, and dated next action |
| Maintain | Current stage, evidence, owner, and next review date |
| Reassign | New owner, handoff context, and accepted responsibility |
| Hold | Reason, condition to resume, and review date |
| Close | Reason, source, and any retention or restriction requirement |
Avoid vague outcomes such as “keep warm.” If no action is appropriate, record a deliberate hold or close with the condition for future review.
Step 5: Prepare the next action
Aurora can prepare a meeting brief, task, introduction request, or follow-up draft when the necessary context and supported tools are available. A person must verify identity, material facts, recipient, tone, and permission before any external action.
Finta Networks may show a possible warm path, but the connector must confirm the relationship and willingness to help. Finta CRM should receive the accepted owner, stage, and next action so the result survives beyond the review meeting.
Worked example: resolving two overlapping banker relationships
Two managing directors have recently spoken with different executives at the same company. One CRM record has an active opportunity; the other has a stronger recent relationship with the CFO.
Aurora assembles both relationship histories and flags the overlap. It does not decide which banker “owns” the company. During review, the team keeps the active-opportunity banker as primary owner, adds the CFO relationship owner as a contributor, records a joint meeting plan, and pauses separate outreach. Aurora prepares the meeting brief and a task for the primary owner. The team records the decision and follows its normal supervisory process.
Quality checklist
- Every active record has one accountable owner.
- The objective is specific enough to review.
- Material facts retain their authoritative source.
- Direct relationships and possible paths are labeled differently.
- Conflicts and missing evidence remain visible.
- Every next action has an owner and date.
- External communication is reviewed before sending.
- Accepted outcomes are written back to the designated systems.
Limits and disclosure
Finta does not provide market data, valuation, diligence, conflicts clearance, MNPI controls, broker-dealer compliance, communications retention, or mandate predictions. This workflow is not legal or compliance advice. The firm remains responsible for its registrations, permissions, supervision, information barriers, records, and external actions.
Run the client coverage review
Turn fragmented coverage context into a short exception queue and reviewed next actions. Explore Finta for investment banking client coverage.