[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-deriv_prac-20-015":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-20-015","20",15,"外匯指定銀行擬辦理「對專業機構投資人辦理尚未開放或開放未滿半年，且未涉及新臺幣匯率之外匯衍生性商品業務，並符合其主管機關相關規定」之申辦程序為何？",[13,14,15,16],"開辦前申請許可","開辦前函報備查","開辦後函報備查","得不經申請逕行辦理",2,"衍生性商品相關法規",1,"依銀行業辦理外匯業務管理辦法第 12 條，指定銀行取得外匯衍生性商品業務許可後，一部分商品得不經申請逕行辦理(遠期外匯、換匯交易、指定銀行間未涉及新臺幣匯率之交易等)，其餘則分三類申請或備查。尚未開放或開放未滿半年的商品，對專業機構投資人及高淨值投資法人以外之對象辦理時屬 (A) 開辦前申請許可類;但對這兩類專業對象辦理，只要未涉及新臺幣匯率且符合其主管機關相關規定，即改列開辦後函報備查，故本題選 (C)。(B) 只限總行授權其指定分行辦理推介。(D) 逕行辦理的商品另有列舉，不含尚未開放者。","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？",9,1785157763309]