[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-114-3-021":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sitca_law","投信投顧業務員資格測驗——投信投顧相關法規(含自律規範)","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-114-3-021","114-3",21,"全權委託投資資產為勞工退休金條例年金保險專設帳簿資產者，下列敘述何者正確？",[13,14,15,16],"其委託投資資產之金額仍不得低於新臺幣五百萬元","委託投資資產應於簽約時一次全額存入保管機構，不得以契約約定採分次方式存入","當委託投資帳戶每單位淨資產價值較前一營業日減損達 5%以上時，全權委託投資業者應自事實發生之日起二個營業日內，編製資產交易紀錄及現況報告書送達客戶","每單位淨資產價值減損比率不得另以契約約定調整",2,"全權委託投資業務",1,"委託投資資產為勞退條例年金保險專設帳簿資產者,每單位淨資產價值較前一營業日減損達5%以上時,業者應自事實發生之日起二個營業日內編製資產交易紀錄及現況報告書送達客戶,(C)正確。此類資產不受最低五百萬元之限制,(A)錯;得以契約約定分次存入,(B)錯;減損比率得另以契約約定調整,(D)錯。","hard",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sitca_law-114-3-013","針對非專業投資機構之客戶，投信投顧業務員為全權委託之投資執行，應遵守以下哪些事項？甲.不得依投資經理人之口頭指示執行；乙.投資經理人交付業務員執行買賣時應作成紀錄；丙.執行結果應於次日作成投資執行表；丁.投資執行表不須說明投資差異原因",13,{"id":28,"question":29,"qno":30},"sitca_law-114-3-014","投信或投顧公司為受任人接受客戶全權委託投資業務，共同簽訂之三方權義協定書，係為何三方？",14,{"id":32,"question":33,"qno":34},"sitca_law-114-3-015","針對非專業投資機構之客戶，全權委託投資之投資檢討，應由受任人每隔多少時間至少一次檢討各全權委託投資帳戶投資決策過程、內容及績效，並由各全權委託投資帳戶之投資經理人作成投資檢討？",15,{"id":36,"question":37,"qno":38},"sitca_law-114-3-020","投信投顧事業經營全權委託投資業務，下列何者可將全權委託投資契約之全部或部分複委任他人履行？",20,{"id":40,"question":41,"qno":42},"sitca_law-114-3-023","投顧事業於簽訂全權委託契約前，對於委任之投資客戶（專業投資機構且委託投資資產已指定保管機構者除外）應履行下列哪些事項？甲.應提供七日以上之期間讓客戶審閱全部條款內容；乙.瞭解客戶之資力與投資經驗；丙.交付全權委託投資說明書",23,{"id":44,"question":45,"qno":46},"sitca_law-114-3-024","有關從事全權委託投資業務之人員其兼任之限制規定，下列何者正確？",24,1784190276111]