[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_prac-48-055":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-48-055","48",55,"有關國外財富管理部門對於其從業人員帳戶之投資期間及頻率之管理，下列敘述何者錯誤？",[13,14,15,16],"任何有價證券部位至少應握有七天，除非該部位遭受 5%以上之損失","任何有價證券之遠期部位至少持有七日以上才得平倉","每一帳戶在一曆月中交易次數不得超過二十次","同時進行一買一賣之遠期交易及展期交易均各算一次交易",0,"財富管理業務查核",1,"國外財管對從業人員帳戶採低週轉管理，遠期部位至少持有七日、每月交易不得超過二十次、一買一賣及展期各算一次都正確。錯的是(1)，現貨有價證券部位原則上也應持有相當期間，並非只要虧損逾5%就可隨意在七天內賣出，該敘述把持有規則寫顛倒，故答案為(1)。","hard",[23,27,31,35,39,42],{"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":38},"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？",54,{"id":40,"question":41,"qno":10},"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？",{"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？",56,1783417886369]