Assignment Task:

Question: 
You are required to interview a potential client (or an avatar client if you cannot find a person) to understand their investment goals, objectives and risk preferences in order to construct a suitable investment policy statement (IPS). This needs to consist of both a long-term suite of objectives and short-term component. The short-term component will incorporate a portfolio strategy around listed assets which will culminate in picking stocks with high alpha returns (although you are not required to pick the stocks in the assignment 1) and meeting the clients' objectives. This will be used for the subsequent trading assignment. Using the short-term component of the IPS from the first assignment, construct an appropriate portfolio which considers Environmental, Social and Governance (ESG) and behavioural influences on the portfolio. Design and execute a one-month trading strategy to meet these objectives using listed assets and live prices. The summary of the individual tasks is listed below: 

i) Identify the clients' needs (or an avatar client) and conduct a risk profiling
ii) Prepare an IPS comprising objectives, constraints with particular attention to ESG and behavioural factors
iii) Prepare strategic asset allocation to meet short-term and long-term goals
iv) Short-term trading portfolio involving selection has to be designed with particular explanatory notes that those securities can create alpha returns. 

Key aspects of the report 
• Please note that the client cannot be a member of the teaching faculty at the institution and securities must be tradeable and listed on the Stock Exchange. 
• Your report must be in a word document and shall not exceed 5 pages or 2000 words excluding the appendices 
• You need to include a pledge that the report is your own and disclose the names of the parties who have assisted you. 
• All assignments must be properly referenced, including the in-text referencing [preferably APA style referencing] 
• You can access your own resources, though it may be helpful to use the listed resources below 
• If there are any Excel tables, it should be neatly presented in the word report. 
• The assignment carries 100 marks and a weighting 20% of this course. 
• The plagiarised assignment will be reported to the Dean-Undergraduate in accordance with the rules and policies of SPJain Global School of Management. 
• A written word document to be uploaded on Safeassign in Blackboard by end of teaching week 5: Sunday 16 February 2020 at 11:59 p.m. 

(i) Client profiling: 
• Interview questionnaires which are dully filled in to be included in the report; 
• Findings and risk tolerance scoring and constraints to be identified 

(ii) Investment Policy Statement: 
• Return objectives to be defined and expressed in % and risk tolerance score assigned; 
• Investment Constraints (liquidity, time horizon, taxation, regulatory and unique constraints say ESG and behavioural factors) to be identified and presented in the report 

(iii) Strategic Asset Allocation: 
• Short-term trading portfolio refers to cash allocated to meet the short-term goals of the client 
• Long-term portfolio refers to broad asset class weighting say allocation to the broad stock market index (e.g: ASX200, S&P500, Russell 3000 etc), bonds, alternative assets (E.g: gold, property). A benchmark portfolio with weights, returns and Sharpe ratio to be included. NB: you can use current data and there is no need to forecast returns data. 


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  • Uploaded By : Alex Cerry
  • Posted on : February 18th, 2019

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