[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_cf_prac-48-040":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"bank_audit_cf_prac","銀行內部控制與內部稽核測驗(消費金融)——銀行內部控制與內部稽核","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"bank_audit_cf_prac-48-040","48",40,"若銀行辦理財富管理業務涉及有價證券投資之顧問行為時，下列何者屬於理財業務人員應遵守之規範？",[13,14,15,16],"經手人員取得與業務相關之初次上市（櫃）股票，三十天內不得再行賣出","可利用所獲得之未公開、具價格敏感性之相關資訊從事證券之交易","任何交易利益之優先順序為銀行、客戶、理財人員","經手人員為個人帳戶買入某種股票後三十日內，原則上不得再行賣出",3,"財富管理業務查核",1,"為防止經手人員短線炒作,規定其個人帳戶買入某種股票後三十日內原則上不得賣出,故選 (D)。(A) 初次上市(櫃)股票的限制期間規定並非三十天;(B) 利用未公開價格敏感資訊交易即內線交易,絕對禁止;(C) 利益順序應為客戶最優先,銀行、理財人員在後。","hard",[23,27,31,35,39,42],{"id":24,"question":25,"qno":26},"bank_audit_cf_prac-47-036","小蔡預計二年後退休，目前有 300 萬銀行存款，該存款為支應其退休後之生活資金，理財業務人員應建議其投資下列何種商品為佳？",36,{"id":28,"question":29,"qno":30},"bank_audit_cf_prac-47-037","銀行辦理財富管理業務時，有關法令之遵循，下列敘述何者錯誤？",37,{"id":32,"question":33,"qno":34},"bank_audit_cf_prac-47-038","銀行辦理財富管理業務，對於客戶申訴之適當處理程序，下列敘述何者錯誤？",38,{"id":36,"question":37,"qno":38},"bank_audit_cf_prac-47-039","財富管理業務係以諮詢意見之提供為中心，服務範圍可包括下列何者？ A.所有銀行業務 B.兼營信託業務 C.其他保險、證券相關業務",39,{"id":40,"question":41,"qno":10},"bank_audit_cf_prac-47-040","有關「財富管理顧問業務」在客戶對商品所知有限下所為之銷售，下列程序何者非屬之？",{"id":43,"question":44,"qno":45},"bank_audit_cf_prac-47-041","財富管理從業人員自律規範中，妥慎保管客戶資料，禁止洩露機密資料或有不當使用之情事，以建立客戶信賴之基礎，屬於何種原則？",41,1784190253049]