個案資料
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Malvern's Investment Advisor of the Year
內容大綱
The managing partner for Malvern Investment Services was faced with a dilemma. In two weeks, she would be hosting the firm’s annual conference and would be announcing the Investment Advisor of the Year. Having narrowed down the list to four finalists she now had to make the final decision. This was her first conference as the managing partner and she knew that every announcement, presentation and interaction she had with her partners and staff would be scrutinized for hints of the firm’s direction under her leadership. The choice she would make regarding the Investment Advisor of the Year award would be analyzed to determine the traits that she valued most highly in Malvern’s best advisors. Each of the four advisors under consideration was highly regarded by branch managers, peers and clients. As she viewed the biographies, she wondered how to evaluate them with respect to the award.
學習目標
This case is written primarily for use in an introductory wealth management or investing course. The case is aimed at achieving the following objectives:<br><ul><li>To help students recognize the characteristics of good financial advisors</li><li>To recognize the regulatory limit of their advice</li><li>To identify any inherent bias in their advice</li><ul>