[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-deriv_prac-19-004":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":17,"explanation":19,"difficulty":20},"deriv_prac-19-004","19",4,"銀行已取得辦理衍生性金融商品業務之核准者（其中屬辦理期貨商業務者，並應依期貨交易法之規定取得許可），除負面表列之商品外，原則得開辦各種衍生性金融商品及其商品之組合，並於開辦後幾日內檢附商品特性說明書、法規遵循聲明書及風險預告書報金管會備查？",[13,14,15,16],"10 日","15 日","20 日","7 日",1,"衍生性商品相關法規","為了兼顧金融創新效率與監理需求，銀行取得衍生性金融商品業務核准後，除負面表列須事前核准的商品外，開辦各種商品及其組合採事後備查制，銀行應於開辦後十五日內，檢附商品特性說明書、法規遵循聲明書及風險預告書報金管會備查，故 (B) 正確。備查制的重點在於銀行必須先自行完成內部審查與風險評估程序才能推出商品，主管機關則透過事後書件掌握市場動態並保留糾正空間。(A) 十日與 (D) 七日都短於規定期限，(C) 二十日則過長，這類期限題目沒有推理空間，只能把數字記熟，並與事前核准商品的申請程序區分清楚。","medium",[22,25,29,33,37,41],{"id":23,"question":24,"qno":17},"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":26,"question":27,"qno":28},"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":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？",9,1785157762425]