[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-114-3-026":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-114-3-026","114-3",26,"投信投顧事業經營全權委託投資業務，下列何項作業不符規定？",[13,14,15,16],"由投信投顧事業為客戶辦理有價證券投資之開戶","客戶應與保管機構另行簽訂委任或信託契約，辦理款券保管、買賣交割帳務處理等事宜","投信投顧事業與客戶簽訂全權委託投資契約，應將契約副本送交全權委託保管機構","全權委託投資紛爭調解處理辦法由同業公會擬訂，報金管會核定",0,"全權委託投資業務",1,"全權委託投資之有價證券買賣帳戶,應由客戶本人辦理開戶,受任之投信投顧事業不得代客戶辦理,(A)不符規定。(B)客戶應另與保管機構簽訂委任或信託契約辦理款券保管及交割帳務、(C)全權委託投資契約副本應送交保管機構、(D)紛爭調解處理辦法由公會擬訂報金管會核定,均符合規定。","medium",[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-114-3-021","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？",21,{"id":44,"question":45,"qno":46},"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",23,1784190276152]