[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_law-114-3-014":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sec_law","證券商業務員資格測驗——證券交易相關法規與實務","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_law-114-3-014","114-3",14,"證券商經營基金受益憑證買賣及互易之居間業務之內部控制制度，應依下列何項單位規定辦理？",[13,14,15,16],"財政部","金融監督管理委員會","財團法人中華民國證券櫃檯買賣中心","臺灣證券交易所股份有限公司",2,"證券商管理規則",1,"證券商經營基金受益憑證買賣及互易之居間業務，其內部控制制度應依「財團法人中華民國證券櫃檯買賣中心」之規定辦理，(C)正確。(A)財政部、(B)金管會、(D)證交所均非該居間業務之規範主管單位。","hard",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_law-114-3-015","券商經營涉有外匯業務之衍生性金融商品交易業務時，應就涉及資金匯出入部分向何機關申請許可？",15,{"id":28,"question":29,"qno":30},"sec_law-114-3-016","證券商業同業公會之組織型態，為下列何者？",16,{"id":32,"question":33,"qno":34},"sec_law-114-3-018","證券商顧問業務部門所提供之研究報告經公開後於市場交易時間開始幾小時內，除金管會另有規定外，該部門以外之部門及人員不得進行研究報告所建議標的之買賣？",18,{"id":36,"question":37,"qno":38},"sec_law-114-3-027","證券商經取得委託人同意後，由委託人透過載有 4G 以上門號 SIM 卡之行動裝置，經第三方認證機構向委託人所屬之電信業者，以委託人之行動電話號碼、國民身分證統一編號及生日，與電信業者之行動門號租用人申辦資料進行比對，確認為一致後通知證券商，這種線上開戶的身分認證作業稱為：",27,{"id":40,"question":41,"qno":42},"sec_law-115-1-004","下列何種證券商業務人員，不得辦理登記範圍以外之業務或由其他業務人員兼辦？",4,{"id":44,"question":45,"qno":46},"sec_law-115-1-011","證券商辦理受託管理私募股權基金業務，以下敘述何者錯誤？",11,1783498252620]