[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-115-2-016":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"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","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_sr_law-115-2-016","115-2",16,"證券商得接受私募股權基金相關機構委任，就該證券商子公司擔任普通合夥人之私募股權基金及受託管理之私募股權基金引介專業投資機構及高資產客戶參與投資及提供相關服務，證券商辦理本業務，每一引介投資之私募股權基金之高資產客戶人數總數不得超過多少人？",[13,14,15,16],"三十五人","五十人","九十九人","七十人",2,"證券商管理規則",1,"證券商受私募股權基金相關機構委任，就其子公司擔任普通合夥人或受託管理的私募股權基金，向專業投資機構及高資產客戶引介參與投資，是主管機關開放的兼營業務；但私募股權基金流動性低、資訊揭露有限，因此開放時同時設有人數上限：每一引介投資的私募股權基金，其高資產客戶人數總數不得超過九十九人，故正解為(C)。這個數字與私募基金受益人人數上限一致，用意在確保商品維持私募性質，不致變相公開招募。選項(A)三十五人是有價證券私募應募人的上限，屬相近制度的混淆數字；選項(B)五十人與選項(D)七十人在相關規定中並無對應門檻。","hard",[23,27,30,34,38,42],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-015","證券商轉投資總金額不得超過其淨值百分之多少？",15,{"id":28,"question":29,"qno":10},"sec_sr_law-114-3-016","證券商應於何時加入證券商業同業公會？",{"id":31,"question":32,"qno":33},"sec_sr_law-114-3-017","下列何者為非？",17,{"id":35,"question":36,"qno":37},"sec_sr_law-114-3-018","證券商除由金融機構兼營者依有關法令規定外，其經營自行買賣有價證券業務者，持有任一本國公司股份之總額不得超過該公司已發行股份總額之___；持有任一本國公司所發行有價證券之成本總額，並不得超過該證券商淨值之___。",13,{"id":39,"question":40,"qno":41},"sec_sr_law-114-3-019","證券商之加入同業公會制度相關規定是：",19,{"id":43,"question":44,"qno":45},"sec_sr_law-115-1-007","證券商得為自行買賣特定外國債券之買賣斷交易，以下敘述何者錯誤？",7,1785904148068]