[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-2-014":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-115-2-014","115-2",14,"全權委託投資契約存續期間是否可以增加或提取委託投資資產？",[13,14,15,16],"可增加不能提取","可提取不能增加","可增加，但要資產價值達新臺幣 500 萬元以上才能提取","增加或提取均沒有限制",2,"全權委託投資業務",1,"全權委託投資契約存續期間並非動彈不得，客戶得增加委託投資資產，因為加碼不會損及既有操作的完整性；但提取則受限制，法令設有最低委託金額的要求，客戶提取後委託投資資產價值仍須維持在新臺幣五百萬元以上，(C) 正確。設限的理由在於資產規模一旦過小，經理人難以依約定的投資方針分散配置，交易成本占比也會失衡，反而不利客戶。(A) 完全禁止提取、(B) 反過來禁止增加，都與規定不符；(D) 稱增加或提取均沒有限制，則忽略了提取須維持最低金額的門檻。","medium",[23,27,30,34,38,42],{"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":10},"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？",{"id":31,"question":32,"qno":33},"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":35,"question":36,"qno":37},"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":39,"question":40,"qno":41},"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":43,"question":44,"qno":45},"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",23,1785904153744]