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You are working as a Senior Wealth Manager at the London office of an international private bank. You have been approached by a Senior Partner at a well-known law firm in order to discuss the wealth management needs of a client of his.

 

Following a short phone conversation, the lawyer sent you the below email:

 

“Dear John,

 

Thank you for your time on the phone earlier.

As a wrap up of the client case we discussed, this is a client that has been introduced to us by our Beijing office. His name is Yiao Ming, he is a Chinese national. His family (wife and 7 year old son) are now living in London. Mr Ming’s son has been diagnosed with a serious health issue and he will attend a special school in London.

 

Mr Ming is a successful businessman. His business interests are in the energy and real estate sectors in China. He will be splitting his time between China and London.

Hope this information is sufficient as a starting point.

The client is interested in setting up a wealth management relationship with a reputable bank in London.

 

On the basis of our co-operation on other clients in the past, I would be extremely happy if you could help with Mr Ming’s needs.

 

I remain at your full disposal for any additional information or assistance you may need.

 

Yours Sincerely,

Paul Hargreaves

HPD Law Firm”

 

 

 

 

 

 

 

 

 

 

 

You are required to:

 

1. The client will be visiting his family in London in 20 days. Please discuss any actions you should take ahead of the client’s visit. (5 points) – We are looking for actions you may take before any interaction with the client.

 

2. Prepare an introductory email requesting a meeting with the client during his London visit. (5 points) – Just a short email requesting a meeting

 

 

3. A meeting is arranged and the client and his wife visit you in your offices. Discuss your agenda for the meeting and what you will try to achieve from it. (20 points) – You may include in your agenda points the client’s answers and the information that was provided by the client on the points you would raise in the meeting. The main idea here is that a meeting is an ideal set up to get certain types of client information – that should be the focus

 

4. Following a successful meeting, the client expresses his interest to start a wealth management relationship with you. Prepare a follow up email (outlining any information you may need from the client as well as the broad framework of your relationship) as well as a tailor-made 10 question long questionnaire for the client. (30 points)  – The questionnaire should focus on areas that were “lightly covered” in the meeting or areas that are better “explored” via a questionnaire.

 

5. On the basis of the information you have collected on the client as well as the findings of the questionnaire (which you should fill in yourself on behalf of the client), prepare an investment proposal for the client in the form of a detailed letter. (40 points) – should be a full investment proposal summarising the parameters of the relationship and should include all required information for an investment proposal for a specific client.

 

 

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