Wealth Management Question

1. 111學年上學期 資產管理期中考申論題可能題組
共出6題
Ch1
1. Define personal financial planning. A: p. 4
What is the difference between personal financial planning and wealth
management? A: p.5
2. What are the factors that distinguish wealth management from other
types of retail financial institution? A: p.11~12
3. How is a financial planner compensated in Asia, Europe, and U.S.. A:
p.20,22
4. Please describe the reasons why fee-based payment is better? A: p.24
5. Please write down the challenges of facing Information Technological
Revolution? A: p.32
6. Please describe the ongoing change in the type of clients to be served.
A: p.40
Ch2
1. What is the financial industry’s biggest challenge? Please write down
the top 6 “big problems” that clients concern. A: p.4~5
2. How do the financial firms put their efforts to restore trust? Please
answer with Citigroup’s ‘Five Point Plan’. A: p.6
3. What is objectives of a Professional Code of Ethics? What kind of
professional responsibilities can be carried out by practicing ethics? A:
p7~8
4. Describe the seven principles of the Professional Code of Ethics of CFP
Board. A: p.10-16
5. The composition of the client base is becoming much more
challenging. What are these 5 changes? A: p.31-33
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