[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sitca_law-115-1-014":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)","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-115-1-014","115-1",14,"全權委託投資契約之受任人運用全權委託投資資產買賣有價證券而經由證券商退還手續費，應如何處理？",[13,14,15,16],"列為管理報酬","作為客戶買賣交易成本之減項","作為投資獲利","累積為客戶委託投資資產",1,"全權委託投資業務","依全權委託投資業務操作辦法,受任人因運用委託投資資產買賣有價證券而自證券商取得之退還手續費或其他利益,屬客戶權益,應作為客戶買賣交易成本之減項,(B)正確。(A)(C)將之列為受任人報酬或獲利、(D)逕行累積入資產,均混淆客戶與受任人之利益歸屬。","medium",[22,26,29,33,37,41],{"id":23,"question":24,"qno":25},"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":27,"question":28,"qno":10},"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？",{"id":30,"question":31,"qno":32},"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":34,"question":35,"qno":36},"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":38,"question":39,"qno":40},"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":42,"question":43,"qno":44},"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",23,1784190276747]