[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-deriv_prac-20-042":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-20-042","20",42,"央行訂定之「銀行業辦理外匯業務管理辦法」規定，有關應接受衍商在職訓練之法遵人員及稽核人員的規範，下列敘述何者錯誤？",[13,14,15,16],"辦法中所稱法遵人員，得不包括法遵部門主管","分行人員兼任分行法遵主管者，屬於辦法中所稱法遵人員","辦法中所稱稽核人員，得不含總稽核","分行人員辦理自行查核者，非屬辦法中所稱稽核人員",1,"衍生性商品相關法規","這套衍商在職訓練規範鎖定的是總行專責辦理衍生性商品法令遵循與內部稽核的承辦人員。(B) 把分行人員兼任分行法遵主管者也算進來，與規定不符，屬錯誤敘述，故選 (B)。(A) 正確，法遵部門主管屬管理階層，得不計入應受訓練的法遵人員。(C) 正確，總稽核同屬主管層級，亦得不含在稽核人員範圍。(D) 正確，分行辦理自行查核是內部控制的自我檢查機制，與專責的內部稽核業務性質不同，不算稽核人員。記法就抓總行、專責、承辦三個關鍵字，主管層級與分行自行查核都在範圍之外。","hard",[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？",9,1785157763615]