[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-1-032":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)","c1",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-1-032","115-1",32,"有關投顧事業加入同業公會之規範，下列敘述何者正確？ 甲.於申請核發營業執照時，即應取得公會同意入會；乙.信託業兼營者得於開業一個月內加入；丙.強制性規範；丁.投顧事業者應於取得營業執照時即加入公會；戊.信託業兼營者，應於開辦該項業務前加入公會",[13,14,15,16],"乙、丙、丁","甲、丁","甲、丙、戊","乙、戊",2,"證券投資信託及顧問法",1,"投信投顧法採強制入會制,非加入同業公會不得開業(丙);申請核發營業執照時即應取得公會同意入會之證明(甲);信託業等兼營者應於開辦該項業務前加入公會(戊),故(C)正確。乙「開業一個月內加入」與丁「取得執照時始加入」之時點均與規定不符。","hard",[23,26,30,34,38,42],{"id":24,"question":25,"qno":19},"sitca_law-114-3-001","對客戶委任交付或信託移轉之委託投資資產，就有價證券、證券相關商品或其他經主管機關核准項目之投資或交易為價值分析、投資判斷，並基於該投資判斷，為客戶執行投資或交易之業務。以上是形容下列何項業務？",{"id":27,"question":28,"qno":29},"sitca_law-114-3-006","下列證券投資信託公司之內部人，何者需負忠實義務之責任？甲.基金經理人；乙.公司業務部協理；丙.經手申購業務之人員",6,{"id":31,"question":32,"qno":33},"sitca_law-114-3-007","證券投資信託基金之來源不包含以下何者？",7,{"id":35,"question":36,"qno":37},"sitca_law-114-3-009","下列敘述何者正確？",9,{"id":39,"question":40,"qno":41},"sitca_law-114-3-019","若甲證券投資信託事業因故意或過失致損害基金之資產，下列何者應為基金受益人之權益向其追償？",19,{"id":43,"question":44,"qno":45},"sitca_law-114-3-050","投信事業及投顧事業之董事、監察人、經理人或受僱人執行職務有違反證券投資信託及顧問法或其他有關法令之行為，足以影響業務之正常執行時，主管機關得隨時命令該事業停止其執行業務，期限最長為：",50,1784190277007]