(Full marks: 100) Question 1 You are given the following client profile. Category Details Type of Investor Individual, 40-year-old female in good health Assets $3,000,000 apartment (fully paid-up), $800,000 in CPF funds, $500,000 in savings and checking accounts, $3.5 million stock portfolio Note The apartment and the stock portfolio were gifts from the parents Occupation …
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(Full marks: 100)
Question 1
You are given the following client profile.
| Category | Details |
|---|---|
| Type of Investor | Individual, 40-year-old female in good health |
| Assets | $3,000,000 apartment (fully paid-up), $800,000 in CPF funds, $500,000 in savings and checking accounts, $3.5 million stock portfolio |
| Note | The apartment and the stock portfolio were gifts from the parents |
| Occupation | Head of Legal in a foreign bank |
| Hobbies | Painting, travelling, fine dining |
| Family | Single |
| Retirement Plans | Plans to retire at 60 |
| Current Income | Current annual income of $500,000 |
| Spending Plans | Intends to buy a vacation home in New Zealand where she vacations, as she enjoys the beautiful scenery and the quiet environment. The vacation home costs $1 million. |
| Taxes | 22% income tax rate |
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:
- Evaluate the pros and cons of using the Lion Global Asset Management versus UOB Asset Management platforms to place funds.
- 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)
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