[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_prac-47-054":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"bank_audit_prac","銀行內部控制與內部稽核測驗(一般金融)——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_prac-47-054","47",54,"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？",[13,14,15,16],"此類客戶應由他人伴同，協助瞭解相關資料","業務人員必須同時提供類似商品之收益率以供參考","相關交易之執行必須經主管覆核同意後才得為之","業務人員進行此種商品銷售時，其直屬主管如有可能應在旁",1,"財富管理業務查核","面對所知有限的客戶進行銷售時，重點在加強保護與覆核，(2)「必須同時提供類似商品之收益率供參考」並非此類保護程序，故答案為(2)非屬。由他人伴同協助了解資料、交易須經主管覆核同意、直屬主管盡量在旁，才是針對資訊弱勢客戶的把關措施。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"bank_audit_prac-47-051","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？",51,{"id":27,"question":28,"qno":29},"bank_audit_prac-47-052","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？",52,{"id":31,"question":32,"qno":33},"bank_audit_prac-47-053","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",53,{"id":35,"question":36,"qno":37},"bank_audit_prac-47-055","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？",55,{"id":39,"question":40,"qno":41},"bank_audit_prac-47-056","下列何者應在理財業務人員職業道德規範中明訂？",56,{"id":43,"question":44,"qno":45},"bank_audit_prac-47-057","為符合「適當性(Suitability)原則」 ，針對財富管理個人類型客戶應審視之事項，下列何者非屬之？",57,1783417885451]