[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-bank_audit_prac-49-053":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-49-053","49",53,"有關銀行辦理財富管理業務，下列敘述何者正確？",[13,14,15,16],"理財業務人員之獎酬結構，僅得以銷售目標及銷售數量之達成率作為計算基礎","銀行為確保理財服務品質，得採秘密之顧客檢核手法，協助檢視執行業務之服務品質","客戶來行辦理金融商品轉換，銀行無須執行 KYC 程序","銀行得以提供贈品方式招攬新客戶開立存款帳戶",1,"財富管理業務查核","銀行為確保服務品質,得採秘密顧客的檢核手法,派人假扮客戶實地檢視理專執行業務的狀況,所以(2)正確,答案為(2)。獎酬不能只看銷售目標與數量、商品轉換仍須執行KYC、也不得以贈品招攬開戶,其餘敘述都違反規範。","medium",[22,26,30,33,37,41],{"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":10},"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",{"id":34,"question":35,"qno":36},"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":38,"question":39,"qno":40},"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":42,"question":43,"qno":44},"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？",56,1783417887170]