[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_cf_prac-48-041":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-48-041","48",41,"有關國外財富管理部門對於其從業人員帳戶之投資期間及頻率之管理，下列敘述何者錯誤？",[13,14,15,16],"任何有價證券部位至少應握有七天，除非該部位遭受 5%以上之損失","任何有價證券之遠期部位至少持有七日以上才得平倉","每一帳戶在一曆月中交易次數不得超過二十次","同時進行一買一賣之遠期交易及展期交易均各算一次交易",0,"財富管理業務查核",1,"從業人員帳戶的有價證券部位至少應持有七天,例外是該部位遭受「10%」以上損失時才可提前出脫停損,(A) 寫成 5% 門檻錯誤。(B) 遠期部位至少持有七日才得平倉、(C) 每帳戶每曆月交易不得超過二十次、(D) 一買一賣遠期及展期各算一次,皆為正確規定。","hard",[23,27,31,35,39,43],{"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":42},"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？",40,{"id":44,"question":45,"qno":10},"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？",1784190253060]