[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-115-1-016":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-115-1-016","115-1",16,"投信投顧事業為非專業投資機構之客戶，辦理全權委託投資業務，下列行為規範何者正確？",[13,14,15,16],"與客戶為投資有價證券收益共享或損失分擔之約定","利用客戶之帳戶，為他人買賣有價證券","將全權委託投資契約之全部或部分複委任他人履行或轉讓他人","依據分析作成決定、交付執行時應作成紀錄並按月檢討",3,"全權委託投資業務",1,"依全權委託投資業務管理辦法,受任人應依分析報告作成投資決定、交付執行時作成紀錄並按月提出檢討,(D)為法定應遵行事項。(A)收益共享或損失分擔之約定、(B)利用客戶帳戶為他人買賣、(C)複委任他人履行或轉讓契約,均為對非專業投資機構客戶之禁止行為。","medium",[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",23,1784190276788]