[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-deriv_prac-19-014":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-19-014","19",14,"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，所稱高淨值投資法人應符合之條件，包括最近一期經會計師查核或核閱之財務報告持有有價證券部位或衍生性金融商品投資組合達新臺幣多少元以上？",[13,14,15,16],"5 億元","10 億元","15 億元","20 億元",1,"衍生性商品相關法規","高淨值投資法人是介於一般專業法人與專業機構投資人之間的一級，門檻採多條件並行：除了要設置內部專業投資人員、具備適當的內部控制程序並經授權層級同意外，財務面看的是最近一期經會計師查核或核閱之財務報告，持有有價證券部位或衍生性金融商品投資組合達新臺幣十億元以上，另有總資產規模的併行門檻。定在十億元，是為了篩出真正有能力自行評估複雜商品的法人。(A) 五億元、(C) 十五億元、(D) 二十億元皆非現行標準。取得這個身分後，銀行對其適用近似專業機構投資人的簡化程序，這正是門檻不能訂太低的原因。","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？",9,1785157762557]