[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-deriv_prac-18-012":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"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":19,"explanation":20,"difficulty":21},"deriv_prac-18-012","18",12,"依銀行辦理衍生性金融商品自律規範規定，銀行對屬自然人之一般客戶，提供單項衍生性金融商品，如涉及大陸地區商品或契約，下列何者非屬之？",[13,14,15,16],"不涉及新臺幣匯率之外匯保證金交易","陽春型遠期外匯","買入陽春型匯率選擇權","買入轉換／交換公司債資產交換選擇權",3,"衍生性商品相關法規",1,"自律規範第 21 條對屬自然人之一般客戶採正面表列，一般情形下得提供四項:外匯保證金交易、陽春型遠期外匯、買入陽春型外幣匯率選擇權，以及買入轉換／交換公司債資產交換選擇權。但同條另設更嚴的一層——單項商品如涉及大陸地區商品或契約，範圍再縮為三項:(A) 不涉及新臺幣匯率之外匯保證金交易、(B) 陽春型遠期外匯、(C) 買入陽春型匯率選擇權。(D) 買入轉換／交換公司債資產交換選擇權雖在一般情形的表列之內，一旦涉及大陸地區即被排除，故為本題答案。判準全在題幹「涉及大陸地區」這個前提。","hard",[23,26,29,33,37,41],{"id":24,"question":25,"qno":19},"deriv_prac-18-001","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？",{"id":27,"question":28,"qno":17},"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？",{"id":30,"question":31,"qno":32},"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":34,"question":35,"qno":36},"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":38,"question":39,"qno":40},"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":42,"question":43,"qno":44},"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？",9,1785157761826]