[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-futures_law-115-2-030":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"futures_law","期貨商業務員資格測驗——期貨交易法規","c4",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"futures_law-115-2-030","115-2",30,"下列期貨商之相關敘述，何者錯誤？",[13,14,15,16],"期貨商應設置內部稽核","考量經營綜效，期貨商經營經紀及自營期貨業務，業務資訊得互為流用","期貨商經營經紀及自營期貨業務者，應各別獨立作業","內部稽核所作成稽核報告，應包括公司之財務及業務是否符合有關法令及公司內部控制制度之規定",1,"期貨業與期貨商(設置標準\u002F管理規則)","期貨商兼營經紀與自營業務時必須築起防火牆，兩項業務應各別獨立作業(C)，避免自營部門利用客戶委託資訊搶先交易。(B)以「經營綜效」為由主張業務資訊得互為流用，正好違反這道區隔要求，故為本題要挑出的錯誤敘述。(A)正確，期貨商應設置內部稽核，獨立查核各項業務；(D)也正確，內部稽核所作成的稽核報告，應包括公司的財務及業務是否符合有關法令與公司內部控制制度的規定，並據以追蹤改善。與此相呼應的還有自行買賣不得優先於同種類受託買賣的規定，兩者都是為了防止利益衝突而設。","easy",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"futures_law-114-3-015","依我國期貨交易法之規定，下列敘述何者為不正確？",15,{"id":27,"question":28,"qno":29},"futures_law-114-3-017","下列何者不正確？",20,{"id":31,"question":32,"qno":33},"futures_law-114-3-019","關於客戶保證金專戶，期貨商在下列何種情況不得提取專戶內之款項？",19,{"id":35,"question":36,"qno":37},"futures_law-114-3-021","期貨商受理開立綜合帳戶從事期貨交易，應向主管機關申報之事項不包括下列何者？",21,{"id":39,"question":40,"qno":41},"futures_law-114-3-022","期貨商對不同客戶所為同種類期貨交易之委託，就交易結果，如何進行分配？",14,{"id":43,"question":44,"qno":45},"futures_law-114-3-023","期貨商從事期貨交易，以下何者不正確？",23,1785904150407]