[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-114-3-034":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)","c9",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-114-3-034","114-3",34,"下列有關投顧事業從事廣告及其他營業活動行為之敘述，何者為合法行為？",[13,14,15,16],"所提供證券投資服務之績效、內容無任何證據，於廣告中表示較其他業者為優","於有線電視頻道播出之節目從事投資分析之同時，播出招攬客戶之廣告","以聯合主力外圍進行股價炒作作為訴求，進行有價證券之推介行為","在證券交易所或櫃檯買賣中心交易時間及其開盤前與收盤後一小時以外之時段，在廣播或電視傳播媒體，根據合理分析基礎及依據對不特定人就個別有價證券進行推介行為",3,"公會自律規範與廣告行為規範",1,"(D)在集中市場交易時間及其開盤前與收盤後一小時「以外」之時段,基於合理分析依據於廣播電視對不特定人推介個別有價證券,為廣告行為規範所容許。(A)無證據卻自稱績效優於同業、(B)分析節目同時播出招攬廣告、(C)以聯合主力炒作為訴求,均屬禁止行為。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sitca_law-114-3-039","下列何者為證券投顧事業舉辦證券投資分析研討會，宣導推廣其公司業務時，應注意之禁止行為？",39,{"id":28,"question":29,"qno":30},"sitca_law-114-3-042","自動化投資顧問服務之瞭解客戶作業，應評估之項目包括下列哪一項？甲.客戶之投資知識與經驗；乙.客戶之財務狀況；丙.客戶之風險承受程度",42,{"id":32,"question":33,"qno":34},"sitca_law-114-3-046","下列何者非投信投顧公會得對違反法令或自律規範之會員所為處置？",46,{"id":36,"question":37,"qno":38},"sitca_law-114-3-047","證券投資顧問事業從事自動化投資顧問服務，以下何者為應告知客戶之注意事項？甲.客戶於使用前應詳閱服務內容或其他相關公開揭露資訊；乙.客戶應認知投資工具有其內在限制與現實情況存在潛在落差",47,{"id":40,"question":41,"qno":42},"sitca_law-114-3-048","依據投信投顧公會「會員及其銷售機構從事廣告及營業活動行為」規範，對有關投顧事業有聲媒體廣告應以語音或文字聲明下列何種核准事項？",48,{"id":44,"question":45,"qno":46},"sitca_law-115-1-026","下列何者非投信事業為廣告、公開說明會及其他營業促銷活動時之禁止行為？",26,1784190276293]