[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-bank_audit_cf_prac-49-041":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"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":17,"explanation":19,"difficulty":20},"bank_audit_cf_prac-49-041","49",41,"依證券投資顧問事業從業人員行為準則第三條有關執業行為之原則性規定，財富管理從業人員應於其業務範圍內，注意業務進行與發展，對客戶的要求與疑問，適時提出說明，係屬於下列何種原則？",[13,14,15,16],"忠實誠信原則","勤勉原則","專業原則","保密原則",1,"財富管理業務查核","勤勉原則要求從業人員在業務範圍內,持續注意業務之進行與發展,並對客戶的要求與疑問適時提出說明,強調積極盡責的態度,故選 (B)。(A) 忠實誠信重在不欺瞞、不圖私利;(C) 專業原則重在維持專業知能;(D) 保密原則重在保護客戶資料。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"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":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":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？",1784190253935]