Self-study exam based on a thorough understanding of technical and research-based articles on the specific topics of: characteristics, uses and taxation of investment vehicles; asset allocation and portfolio diversification; portfolio development and analysis; principles of communication and counseling; and client and planner attitudes, values, biases and behavioral finance.
- Analyze the performance of large cap equity funds over a multi-year period to determine if alpha is conditioned on expenses
- Examine how the results of a study show that large cap funds underperform against benchmarks after incorporating expenses
- Investigate the validity of the argument by the financial services industry to “roll over your ‘old’ 401(k) plan” because 401(k)-type plans have a limited number of investment options
- Discover if trust in banks increases with repeated personal contacts with respect to the customer-employee relationship