[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-114-3-029":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-114-3-029","114-3",29,"有關全權委託投資業務證券經紀商之指定，下列何者正確？",[13,14,15,16],"他業兼營者，如客戶未指定證券經紀商，兼營全權委託投資業務之證券經紀商得指定本事業為證券經紀商","他業兼營者，客戶不得自行指定本事業為證券經紀商","客戶如自行指定證券經紀商，不得僅指定一家，仍應作適當分散","客戶如自行指定本事業為證券經紀商，應明確告知客戶相關風險、利益衝突及控管措施，並以契約以外之書面取得客戶同意",3,"全權委託投資業務",1,"他業兼營全權委託投資業務者,客戶得自行指定本事業為證券經紀商,惟應明確告知相關風險、利益衝突及控管措施,並以契約以外之書面取得客戶同意,(D)正確。客戶未指定時,兼營之證券經紀商不得指定本事業,(A)錯;客戶「得」自行指定本事業,(B)錯;分散要求係受任人指定時之義務,客戶自行指定得僅一家,(C)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-114-3-021","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",23,1784190276206]