[{"data":1,"prerenderedAt":27},["ShallowReactive",2],{"q-sitca_law-115-1-038":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)","c3",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-1-038","115-1",38,"下列證券投顧事業人員之行為，何者符合規定？",[13,14,15,16],"為提供完整之服務，保管客戶之印鑑與存摺","同意他人靠行使用該投顧事業之名義執行業務","與客戶為投資有價證券收益共享或損失分擔之約定","依法令規定，代客戶查詢委任事項",3,"證券投資顧問事業負責人與業務人員管理",1,"依法令規定代客戶查詢委任事項屬正當之服務範圍,(D)符合規定。(A)保管客戶印鑑或存摺、(B)同意他人以本事業名義執行業務(靠行)、(C)與客戶為投資收益共享或損失分擔之約定,均為證券投資顧問事業負責人與業務人員管理規則明定之禁止行為。","easy",[23],{"id":24,"question":25,"qno":26},"sitca_law-115-1-022","投顧事業之經理人接受委任，對證券投資有關事項提供研究分析或推介建議，此行為視為下列何者授權範圍內之行為？",22,1784190277076]