[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-115-1-049":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-115-1-049","115-1",49,"依中華民國證券投資信託暨顧問商業同業公會會員自律公約第 10 條規定，該同業公會之會員應要求其負責人與受僱人簽訂下列何種文件，聲明其買賣有價證券應遵守主管機關之規定？",[13,14,15,16],"內部道德條款","競業禁止條款","對賭協議","自負盈虧條款",0,"公會自律規範與廣告行為規範",1,"(A) 對:投信投顧公會會員自律公約第 10 條要求會員與其負責人及受僱人簽訂「內部道德條款」,聲明買賣有價證券應遵守主管機關規定,以防範利益衝突與內線交易。(B) 競業禁止、(C) 對賭協議、(D) 自負盈虧條款均非公約所定文件。","medium",[23,27,31,35,39,43],{"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":30},"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？",39,{"id":32,"question":33,"qno":34},"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":36,"question":37,"qno":38},"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":40,"question":41,"qno":42},"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":44,"question":45,"qno":46},"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？",48,1784190277270]