Project: I am the role for CCO – (Compliance)

Project:  I am the role for CCO – (Compliance)

You are a wealth management group pitching your strategies to a wealthy family whose net worth is $100,000,000.  We just sold our business and are in our early 40’s.  We have two children getting ready for college.  We are looking to enjoy some relaxation and peace of mind.  You “cold called” us when you found out about the merger of our company.  You have read a bit about us and have found out that we just purchased a home in Beverly Hills for $10mm.  Your assumptions are that a “comfortable” lifestyle entail about $1mm of expenses per year.
Firm name, history, leaders?
Tell us about your firm’s investment philosophy: Passive/Active, EMH, value, strategic/tactical, etc.
Tell me about your macro economic views on the markets
Tell us about why you’re different from other financial advisors, what does the competitive landscape look like?
Tell me why your firm is compliant.  Give me an example
Walk me through my proposed allocation.  How would it be implemented?  What are the vehicles you would use?  How did you choose each weight for the various asset classes.
You can hand out a presentation.  You can choose if you want to follow it or if you want to just talk

– $100m to invest
– Strategy?
– Investment policy statement? (example:risk level/tolerance)
– Macro Views?
– Fund performance? (example: sharpe ratio)
– How are we different from other advisors/firms?
– CFA compliant
– Proposed asset allocation? (example: equity, bonds, commodities, etc.)
– Proposed sector allocation? (example: tech stocks, Europe bonds, oil, etc)
– Proposed weights and investment vehicles?

Roles:
CEO – (firm management)
CIO – (Investments)
Financial Advisor – (investments)
CMO – (marketing)
CCO – (Compliance)

Strategy – Active, strategic, and tactical
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