[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-1-039":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)","c9",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-1-039","115-1",39,"若甲證券投資顧問事業擬提供自動化投資顧問服務及變更提供自動化投資顧問服務所使用之演算法，應檢具書件送下列何者審查？",[13,14,15,16],"金融監督管理委員會","數位發展部","中華民國證券投資信託暨顧問商業同業公會","財團法人資訊工業策進會",2,"公會自律規範與廣告行為規範",1,"依公會「證券投資顧問事業以自動化工具提供證券投資顧問服務作業要點」,擬提供自動化投資顧問(機器人理財)服務或變更所使用之演算法,應檢具書件送中華民國證券投資信託暨顧問商業同業公會審查,(C)正確。(A)(B)(D)均非該要點指定之審查單位。","medium",[23,27,30,34,38,42],{"id":24,"question":25,"qno":26},"sitca_law-114-3-034","下列有關投顧事業從事廣告及其他營業活動行為之敘述，何者為合法行為？",34,{"id":28,"question":29,"qno":10},"sitca_law-114-3-039","下列何者為證券投顧事業舉辦證券投資分析研討會，宣導推廣其公司業務時，應注意之禁止行為？",{"id":31,"question":32,"qno":33},"sitca_law-114-3-042","自動化投資顧問服務之瞭解客戶作業，應評估之項目包括下列哪一項？甲.客戶之投資知識與經驗；乙.客戶之財務狀況；丙.客戶之風險承受程度",42,{"id":35,"question":36,"qno":37},"sitca_law-114-3-046","下列何者非投信投顧公會得對違反法令或自律規範之會員所為處置？",46,{"id":39,"question":40,"qno":41},"sitca_law-114-3-047","證券投資顧問事業從事自動化投資顧問服務，以下何者為應告知客戶之注意事項？甲.客戶於使用前應詳閱服務內容或其他相關公開揭露資訊；乙.客戶應認知投資工具有其內在限制與現實情況存在潛在落差",47,{"id":43,"question":44,"qno":45},"sitca_law-114-3-048","依據投信投顧公會「會員及其銷售機構從事廣告及營業活動行為」規範，對有關投顧事業有聲媒體廣告應以語音或文字聲明下列何種核准事項？",48,1784190277082]