[{"data":1,"prerenderedAt":39},["ShallowReactive",2],{"q-sitca_law-114-3-035":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)","c10",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-114-3-035","114-3",35,"依據「證券投資顧問事業從業人員行為準則」，證券投資顧問事業之經手人員於在職期間應定期彙總申報本人帳戶及利害關係人帳戶每一筆交易狀況，則利害關係人包括：",[13,14,15,16],"僅本人配偶及其已成年子女","僅以他人名義開戶，參與他人證券或衍生性金融商品投資而直接或間接受有利益者","本人、配偶及其未成年子女利用他人名義投資有價證券及其衍生性金融商品而直接或間接受有利益者","選項(A)(B)(C)皆非",2,"從業人員行為準則與經理守則",1,"依證券投資顧問事業從業人員行為準則,經手人員應申報之利害關係人,指本人配偶、未成年子女,及本人、配偶與未成年子女利用他人名義投資有價證券及衍生性金融商品而直接或間接受有利益者,故(C)正確;(A)誤為已成年子女,(B)僅涵蓋部分範圍。","medium",[23,27,31,35],{"id":24,"question":25,"qno":26},"sitca_law-114-3-044","下列何者係「證券投資顧問事業從業人員行為準則」所稱之經手人員？甲.公司之負責人；乙.投資經理人；丙.非投資或分析部門之受僱人員；丁.公司員工依其職位知悉投資資訊之人",44,{"id":28,"question":29,"qno":30},"sitca_law-114-3-045","證券投資信託基金經理人與全權委託投資業務經理人應遵循事業所訂資訊及通訊設備使用管理規範，其內容何者正確？",45,{"id":32,"question":33,"qno":34},"sitca_law-115-1-005","投信事業之經手人員如知悉其個人交易將與公司所管理之基金或全權委託帳戶為同一種股票之交易買賣，個人交易不得於該買賣交易前後一段時間內為之。但得事先獲得督察主管或其他由高階管理階層所指定之人書面批准，提早於前後幾日以上買入或賣出？",5,{"id":36,"question":37,"qno":38},"sitca_law-115-1-034","投顧事業之經手人員於到職日起幾日內依公司所制定之制式表格申報本人帳戶及利害關係人帳戶持有國內上市、上櫃公司股票及具股權性質衍生性商品之名稱及數量？",34,1784190276307]