[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_cf_prac-49-036":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-49-036","49",36,"銀行辦理財富管理業務應訂定內線交易及利益衝突之防範機制，下列敘述何者錯誤？",[13,14,15,16],"員工接受禮品或招待時應申報","推介商品不得以佣金多寡為考量","薪酬制度應以佣金多寡為唯一考量","理財業務人員不得要求期約或收受不當金錢",2,"財富管理業務查核",1,"薪酬制度若以佣金多寡為唯一考量,會誘使理財人員為衝業績推介不適合客戶的商品,正是利益衝突防範要避免的情形,故 (C) 錯誤。(A) 收受禮品或招待應申報、(B) 推介商品不得以佣金為考量、(D) 不得期約或收受不當金錢,皆為正確規範。","easy",[23,26,30,34,38,42],{"id":24,"question":25,"qno":10},"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？",{"id":27,"question":28,"qno":29},"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":31,"question":32,"qno":33},"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":35,"question":36,"qno":37},"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":39,"question":40,"qno":41},"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":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？",41,1784190253880]