[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-2-025":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","c8",{"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-115-2-025","115-2",25,"證券商欲為證券投資信託事業特定資格之發起人，其所需之資格條件，下列何者為非？",[13,14,15,16],"綜合經營證券承銷、自營及經紀業務滿三年之證券商","實收資本額達新臺幣八十億元以上","最近三年未曾因資金管理業務接受主管機關之處分","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",2,"證券投資信託基金管理",1,"依證券投資信託事業設置標準，具特定資格的發起人分為基金管理機構、銀行、保險公司與證券商四類，各類條件並不相同。就證券商而言，須綜合經營證券承銷、自營及經紀業務滿三年，實收資本額達新臺幣八十億元以上，且最近期經會計師查核簽證的財務報告每股淨值不低於面額，選項(A)、選項(B)與選項(D)都在其中。選項(C)所稱最近三年未曾因資金管理業務接受主管機關處分，是針對基金管理機構這一類發起人所設的條件，證券商的本業並非資金管理，把這項條件套到證券商身上並不對應，故本題問何者為非，應選(C)。","hard",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"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":28,"question":29,"qno":30},"sec_sr_law-114-3-023","信託業可申請兼營下列哪些業務？",23,{"id":32,"question":33,"qno":34},"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":36,"question":37,"qno":38},"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":40,"question":41,"qno":42},"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":44,"question":45,"qno":46},"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？",9,1785904148138]