(Full marks: 100)

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)

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