[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sitca_law-114-3-031":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"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)","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-114-3-031","114-3",31,"依證券投資信託事業負責人與業務人員管理規則之規定，下列何種業務人員不得辦理登錄範圍以外之業務，或由其他業務人員兼任？",[13,14,15,16],"基金經理人","內部稽核","主辦會計","投資研究人員",1,"證券投資信託事業負責人與業務人員管理","依證券投資信託事業負責人與業務人員管理規則,內部稽核人員為維持職能超然獨立,不得辦理登錄範圍以外之業務,亦不得由其他業務人員兼任,故選(B)。(A)基金經理人與(D)投資研究人員依規定得相互兼任,(C)主辦會計亦非絕對禁止兼任之人員。","medium",[22,26,30,34,37,41],{"id":23,"question":24,"qno":25},"sitca_law-115-1-025","下列有關投信事業公司內職務兼任限制之敘述，何者錯誤？",25,{"id":27,"question":28,"qno":29},"sitca_law-115-1-029","募集證券投資信託基金辦理投資決策之業務人員，原則不得與全權委託投資業務之投資決策人員相互兼任。但符合下列何條件者，得相互兼任？ 甲.全權委託客戶為專業投資機構；乙.投資或交易範圍應以所經理基金之主要投資標的及地區為限；丙.投資策略應同屬主動式或被動式操作管理策略；丁.內部控制制度已訂定有效防範利益衝突之作業原則，以確保公平對待所有客戶",29,{"id":31,"question":32,"qno":33},"sitca_law-115-1-030","證券投資信託事業之業務人員，若經投資型保險商品業務員測驗合格，並經證券投資信託及顧問法規測驗合格，得從事下列何種業務？",30,{"id":35,"question":36,"qno":10},"sitca_law-115-1-031","為避免利益衝突，投信基金經理人於證券投資信託事業決定運用證券投資信託基金從事某種公司股票及具股權性質之衍生性商品交易時起，至證券投資信託基金不再持有該公司股票及具股權性質之衍生性商品時止，不得從事該公司股票及具股權性質之衍生性商品交易。限制範圍除基金經理人本人外，尚包括何人？",{"id":38,"question":39,"qno":40},"sitca_law-115-1-033","證券投信及投顧公司負責人及業務人員之到職、離職及變更等異動事項，係向何機關登錄？",33,{"id":42,"question":43,"qno":44},"sitca_law-115-1-050","投信事業之負責人及業務人員若經主管機關依投信投顧法第 104 條規定處以解除職務處分，該人員幾年內不得再回任投信事業？",50,1784190276239]