[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-deriv_prac-18-001":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"deriv_prac","衍生性金融商品銷售人員資格測驗——衍生性金融商品概論與實務","c3",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":10,"explanation":19,"difficulty":20},"deriv_prac-18-001","18",1,"指定銀行辦理外匯衍生性金融商品業務，下列何項交易得逕行辦理毋須向央行申請？",[13,14,15,16],"以期貨交易人身分辦理未涉及新臺幣匯率之國內外期貨交易契約","國內指定銀行間涉及新臺幣匯率之外匯衍生性交易","無本金交割涉及新臺幣匯率之遠期外匯交易","不涉及新臺幣匯率之代客操作外幣保證金交易",0,"衍生性商品相關法規","指定銀行的外匯衍生性商品採分級管理：不牽動新臺幣匯率、風險留在外幣端者，管制密度最低。(A) 以期貨交易人身分承作未涉及新臺幣匯率的國內外期貨契約即屬此類，得逕行辦理，毋須再向中央銀行申請。(B) 是銀行間涉及新臺幣匯率的交易，(C) 無本金交割遠期外匯（NDF）同樣直接牽動臺幣匯價，而臺幣匯率是央行的核心管制標的，都必須先經核准才能承作。(D) 雖不涉臺幣，但代客操作等於替客戶操盤，爭議與風險高，屬開辦前須向央行申請許可的業務。判斷訣竅：先看有無碰到新臺幣匯率，再看是不是代客操作。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"deriv_prac-18-003","依銀行辦理衍生性金融商品業務內部作業控制及程序管理辦法規定，銀行應每年重新檢視客戶屬性評估及分級結果之辦理時點，對於既有客戶得予延長至交易額度評估作業同時辦理，並經客戶確認，但最多不得超過幾個月？",3,{"id":27,"question":28,"qno":29},"deriv_prac-18-006","有關銀行向金融監督管理委員會申請核准辦理衍生性金融商品業務時所需符合之規定，下列敘述何者錯誤？",6,{"id":31,"question":32,"qno":33},"deriv_prac-18-007","依銀行辦理衍生性金融商品業務內部作業制度及程序管理辦法規定，所稱之專業客戶，不包括下列何者？",7,{"id":35,"question":36,"qno":37},"deriv_prac-18-008","銀行與一般客戶之交易糾紛，無法依照銀行內部申訴處理程序完成和解者，客戶得向下列何者申請評議？",8,{"id":39,"question":40,"qno":41},"deriv_prac-18-009","銀行不得與下列何類客戶辦理複雜性高風險商品？",9,{"id":43,"question":44,"qno":45},"deriv_prac-18-010","關於衍生性金融商品部位之評價頻率，其為銀行本身業務需要辦理之避險性交易者，應：",10,1785157761729]