[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-risk_mgmt-20-025":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"risk_mgmt","風險管理基本能力測驗——風險管理制度與實務","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"risk_mgmt-20-025","20",25,"票券金融公司的資本適足率在 6%以上，未達 8%時，主管機關得採行下列哪些措施？ A.不得以現金分配盈餘 B.不得以現金買回流通在外股份 C.限期提出資本重建計畫 D.限期提出財務業務改善計畫",[13,14,15,16],"僅 ABC","僅 CD","僅 BCD","ABCD",3,"金融機構的資本適足制度",1,"票券金融公司資本適足率在 6% 以上但未達 8%，落在票券金融公司資本適足性管理辦法第 13 條較輕的那一檔，處置重點在阻止資本繼續流失並要求業者自行改善：(A) 不得以現金分配盈餘、(B) 不得以現金買回流通在外股份，都是防止資本以現金形式流出公司；(C) 限期提出資本重建計畫、(D) 限期提出財務業務改善計畫，則是要求業者提出補足資本與調整體質的具體時程。四項並行，故選 (D) ABCD。若比率再往下掉到 6% 以下，主管機關還可加碼解除負責人職務、調降其報酬並命令處分特定資產。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"risk_mgmt-20-022","票券金融公司的資本適足率低於 6%者，主管機關可採行下列哪些措施？ A.解除負責人職務 B.命令取得或處分特定資產，應先經主管機關核准 C.命令處分特定資產 D.命令對負責人之報酬予以降低",22,{"id":28,"question":29,"qno":30},"risk_mgmt-20-023","為限制信用過度擴張，Basel III 規範銀行額外計提資本，此規範的用意為何？",23,{"id":32,"question":33,"qno":34},"risk_mgmt-20-026","保險公司的資本適足率至少須達多少以上，才可申請從事衍生性金融商品交易之業務？",26,{"id":36,"question":37,"qno":38},"risk_mgmt-20-027","有關證券業在不同資本適足率下之業務規範及限制，下列敘述何者錯誤？",27,{"id":40,"question":41,"qno":42},"risk_mgmt-20-029","有關信用風險的資本計提，下列何者不屬於內部評等法(Internal Rating-Based Approach, IRB)的決定因素？",29,{"id":44,"question":45,"qno":46},"risk_mgmt-20-030","表外的非衍生性商品，估計其風險性資產時，下列敘述何者錯誤？",30,1785146815562]