[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-115-1-011":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"sec_sr_law","證券商高級業務員資格測驗——證券交易相關法規與實務","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sec_sr_law-115-1-011","115-1",11,"證券投資信託事業辦理受託管理私募股權基金業務，以下敘述何者錯誤？",[13,14,15,16],"應設置專責部門，並配置適足、適任之人員","得與所經理之證券投資信託基金、全權委託帳戶及自有資金帳戶間，為證券或證券相關商品交易行為","訂定完善之內部控制制度與風險控制及管理機制，並確實執行","證券投資信託事業申請辦理該項業務，最近期經會計師查核簽證之財務報告每股淨值不低於面額",1,"證券投資信託基金管理","投信事業辦理受託管理私募股權基金，為防利益衝突，該私募股權基金不得與其所經理的證券投資信託基金、全權委託帳戶及自有資金帳戶間相互為證券或相關商品交易，故 (B) 敘述錯誤。(A) 設專責部門、(C) 建置內控及風險管理、(D) 每股淨值不低於面額，均為正確要件。","hard",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"sec_sr_law-114-3-021","受益憑證之買回價格，以請求買回書面到達證券投資信託事業或其代理機構之何時之基金淨資產核算？",21,{"id":27,"question":28,"qno":29},"sec_sr_law-114-3-023","信託業可申請兼營下列哪些業務？",23,{"id":31,"question":32,"qno":33},"sec_sr_law-114-3-024","依「證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法」規定，證券投資信託事業或證券投資顧問事業以委任方式經營全權委託投資業務，有關資產保管之方式下列何者正確？",24,{"id":35,"question":36,"qno":37},"sec_sr_law-114-3-027","境外基金需經下列何種程序後，始得募集及銷售？",27,{"id":39,"question":40,"qno":41},"sec_sr_law-114-3-032","境外基金募集及銷售案件，主管機關得委託以下何單位受理申請案件？",32,{"id":43,"question":44,"qno":45},"sec_sr_law-115-1-009","證券投資信託事業之董事、監察人、經理人、業務人員及其他受僱人員，不得為下列何種行為？",9,1783661233077]