Mutual Fund Mastery case studies, worked step by step

Cases
100
Traced to a firm
31
Topics
14
Hard
32
Topic
All topicsEquity research and stock pitches15Fund selection and due diligence9Debt fund credit decisions8Client portfolios and goal planning9Index funds, ETFs and passive6AMC and distribution economics6Performance review and attribution6Duration and rates positioning6Liquidity, redemptions and stress7Scheme design and product strategy7Compliance, risk limits and conduct6Valuing listed securities: IPOs, DCF and REITs5NAV operations and operational risk5Retirement, withdrawals and life events5
Level
AnyWarm upCoreHard
Source
AnyReported at a firmStandard
Showing 1–2 of 2 · filtered from 100Clear filters
  1. 030A 72-year-old was sold a small cap fund and a five-year close-ended NFO for 80% of her savings. She is down 22% and cannot exit the NFO. Assess suitability, name the failures and propose a remedy.Compliance, risk limits and conductCoreCompliance and legalRisk and compliance
  2. 079An analyst has high conviction in a stock and wants the fund to hold 7% of NAV against an internal limit of 5%. The position would be Rs 350 crore in a stock that trades Rs 8 crore a day. What would make the investment committee comfortable, and what should it refuse?Compliance, risk limits and conductCoreNuveenNew York · 2021

Company names and figures are illustrative.