FIN543 Management of Wealth Management Business: Investment Strategy Case Study

Question 1

You are given the following client profile.

Question 1a

Appraise and briefly discuss the following which pertain to the client:

i) Return objective

ii) Investment horizon

iii) Liquidity requirement

iv) Risk tolerance

v) Willingness and ability to accept risk (25 marks)

Question 1b

Assess the client’s characteristics. Then plan and discuss a marketing proposal to secure the client’s business. (15 marks)

Question 1c

The client demonstrates a dynamic investment profile. Briefly discuss how you would design and implement risk and governance procedures regarding the client’s transactions. (10 marks)

Question 1d

The client is interested in investing some of her funds in a mutual fund. Pick a fund managed by Lion Global Asset Management and explain why you think the fund is suitable for her. Use the dollarDex website to select your fund. (20 marks)

Question 2

Question 2a

The past few years have seen the emergence of Large Language Models (LLMs) like ChatGPT, DeepSeek, and Gemini. Many of the LLMs have free versions which allow users to experiment and deploy them to perform various tasks.

Use any LLM to perform two (2) tasks:

1. Evaluate the pros and cons of using the Lion Global Asset Management versus UOB Asset Management platforms to place funds.
2. Prepare a marketing proposal on using Bank of Singapore as a private banking facility.

For each of the tasks, show your prompt and briefly explain your rationale for framing the prompt in the manner you have chosen.

Use your LLM to summarise the output of each prompt. (20 marks)

Question 2b

Appraise briefly two (2) possible risks in using LLMs in wealth management. (10 marks)

Accounting Assignment Answers: Experts Answer on Above Wealth Management Questions

Investment objectives

Return objective: The return objective has been to achieve a capital appreciation along with a regular income growth so as to maintain the lifestyle. The primary goal is therefore to achieve growth in the wealth which easily beats up the inflation level.
Investment Horizon: The investment Horizon is considered as long term because retirement is planned for 20 years which allows for high exposure to equity and risk taking options.
Liquidity requirement: Liquidity is generally needed for short term purposes and the client also needs it for emergencies and the remaining fund can be invested on a long term basis.
Risk tolerance: An analysis of the client’s net worth, financial security and investment experience indicates that the client has a high ability to tolerate the risk.
Willingness to take risk: She has a strong ability to take risk because of having high income, assets and no dependents. In terms of her willingness, it is considered as moderate to high because she is highly accustomed to market volatility.

Client characteristics and marketing proposal

The characteristics of the client indicate that she is a high network individual and financially independent, and she has a strong income and is well educated. She needs long term stability, ethical investment and global diversification
In terms of marketing, she can be offered value by proposing a personalised Portfolio Management, and this can be done through exclusivity and transparency. The tools that can be utilised are data analytics to offer personalized recommendation and engagement can be achieved by offering private investment briefings.

Risk and governance procedure

The risk management can be achieved by way of establishing a diversified portfolio, setting up investment limits and performing regular check up in terms of stress testing. Proper governance can be achieved by ensuring complaints with the Monetary Authority of Singapore, using independent third party audits and implementing transaction authorisation controls.

Suitable Mutual Fund

There are many Mutual Funds available and the best one is LionGlobal infinity Global stock index fund, as it allows for adequate diversification, and is ideal in terms of generating return over the long term period. It is also accessible as it allows regular investment and highly reputed as managed by Lion Global Asset Management. 

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