[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-bank_audit_prac-49-058":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-49-058","49",58,"有關銀行辦理財富管理業務產品適合度政策，下列何種交易不須特別揭露相關資訊或踐行必要之程序步驟？",[13,14,15,16],"綠燈交易","黃燈交易","橘燈交易","紅燈交易",0,"財富管理業務查核",1,"產品適合度用紅黃綠燈分級管理風險，綠燈代表客戶屬性與商品風險相符、屬正常可承作交易，不必額外揭露或踐行特別程序，故選(1)。黃燈、橘燈、紅燈代表適合度落差由小到大，須加強揭露、補件、主管覆核甚至不得承作，程序愈嚴。","medium",[23,27,31,35,39,43],{"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":42},"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":44,"question":45,"qno":46},"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？",56,1783417887205]