[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_prac-48-054":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"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":19,"explanation":20,"difficulty":21},"bank_audit_prac-48-054","48",54,"若銀行辦理財富管理業務涉及有價證券投資之顧問行為時，下列何者屬於理財業務人員應遵守之規範？",[13,14,15,16],"經手人員取得與業務相關之初次上市（櫃）股票，三十天內不得再行賣出","可利用所獲得之未公開、具價格敏感性之相關資訊從事證券之交易","任何交易利益之優先順序為銀行、客戶、理財人員","經手人員為個人帳戶買入某種股票後三十日內，原則上不得再行賣出",3,"財富管理業務查核",1,"為防範利益衝突與內線交易，理財經手人員以個人帳戶買入某股票後，短期內不得反向賣出，故(4)三十日內原則上不得再行賣出是正確規範。取得初次上市櫃股票有更長的閉鎖限制、不得利用未公開價格敏感資訊交易、交易利益順序應以客戶優先，其餘選項皆屬違規或說法錯誤，故答案為(4)。","medium",[23,27,31,35,38,42],{"id":24,"question":25,"qno":26},"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":28,"question":29,"qno":30},"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":32,"question":33,"qno":34},"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":36,"question":37,"qno":10},"bank_audit_prac-47-054","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？",{"id":39,"question":40,"qno":41},"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":43,"question":44,"qno":45},"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？",56,1783417886364]