[{"data":1,"prerenderedAt":44},["ShallowReactive",2],{"q-deriv_prac-19-006":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-19-006","19",6,"銀行之董（理）事會應適時檢討銀行辦理衍生性金融商品業務之經營策略及作業準則，並應評估績效及風險，且除外國銀行在臺分行依總行規定定期辦理檢討者外，應至少多久檢討一次？",[13,14,15,16],"每月","每季","每半年","每年",3,"衍生性商品相關法規",1,"衍生性金融商品業務屬於高風險業務，其經營策略與作業準則不能訂了就放著不管，必須隨市場環境、商品組合與風險曝險的變化定期回頭檢視。規定要求銀行的董（理）事會應適時檢討經營策略及作業準則，並評估業務績效與風險是否落在可承受範圍，且至少每年檢討一次，故 (D) 正確；外國銀行在臺分行若依總行規定定期辦理檢討，則可依其總行制度處理。(A) 每月與 (B) 每季屬於管理階層日常監控或風險報告的頻率，並非董事會層級的法定檢討週期，(C) 每半年同樣不是辦法所定的頻率，別把不同層級的頻率混為一談。","medium",[23,26,29,32,36,40],{"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":10},"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？",{"id":33,"question":34,"qno":35},"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":37,"question":38,"qno":39},"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":41,"question":42,"qno":43},"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？",9,1785157762450]