[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-deriv_prac-19-013":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-19-013","19",13,"指定銀行前經許可或備查之外幣衍生性商品業務，擬擴增辦理涉及人民幣或大陸地區標的者，其向中央銀行申辦之程序為何？",[13,14,15,16],"逕行辦理","開辦前申請許可","開辦前函報備查","開辦後函報備查",0,"衍生性商品相關法規",1,"人民幣及大陸地區標的曾因兩岸金融往來初期的管制而單獨列管，在人民幣業務常態化後已回歸一般外幣衍生性商品的管理框架。指定銀行只要該類外幣衍生性商品業務本身先前已取得中央銀行許可或完成備查，要把標的擴增到涉及人民幣或大陸地區者，屬於既有業務範圍內的延伸，可以逕行辦理，不必再走一次申請程序。(B) 開辦前申請許可，適用於新種、複雜或涉及新臺幣匯率的業務；(C) 開辦前函報備查與 (D) 開辦後函報備查，則適用於原本尚未取得該項業務資格的情形。關鍵前提在於「原業務已核准或已備查」這句話。","hard",[23,26,30,34,38,42],{"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":29},"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":31,"question":32,"qno":33},"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":35,"question":36,"qno":37},"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":39,"question":40,"qno":41},"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":43,"question":44,"qno":45},"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？",9,1785157762549]