[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_cf_prac-49-044":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","c9",{"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-49-044","49",44,"下列何者並非為證券經紀商經營有價證券之業務？",[13,14,15,16],"代理","居間","託管","行紀",2,"票券及證券業務查核",1,"證券經紀商受託買賣有價證券的法律型態有行紀、居間、代理三種;託管(保管)並非經紀業務,屬集保結算或保管機構的業務範疇,故選 (C)。(A)(B)(D) 皆為經紀商合法的營業方式。","medium",[23,27,31,35,38,42],{"id":24,"question":25,"qno":26},"bank_audit_cf_prac-47-029","有關債券市場之敘述，下列何者正確？",29,{"id":28,"question":29,"qno":30},"bank_audit_cf_prac-47-042","辦理債券交易業務時，對客戶以現金給付之交割價款達新臺幣多少元以上者，應查驗確認投資人身分，並留存交易紀錄憑證？",42,{"id":32,"question":33,"qno":34},"bank_audit_cf_prac-47-043","票券商經接受客戶之委託，以行紀或居間買賣短期票券之行為，稱為下列何者？",43,{"id":36,"question":37,"qno":10},"bank_audit_cf_prac-47-044","有關證券商在辦理證券承銷案件時，除先行保留自行認購部分外，其配售方式種類，下列敘述何者錯誤？",{"id":39,"question":40,"qno":41},"bank_audit_cf_prac-47-045","有關證券商與發行公司議定之包銷報酬或代銷手續費，分別不得超過包銷有價證券總金額與代銷有價證券總金額之多少百分比？",45,{"id":43,"question":44,"qno":45},"bank_audit_cf_prac-48-028","承銷融資性商業本票發行面額，應以新臺幣多少元為最低單位？",28,1784190253975]