[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-2-018":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"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":17,"explanation":19,"difficulty":20},"sitca_law-115-2-018","115-2",18,"某投信經許可經營全權委託投資業務，但若自獲得許可後在___內沒有招攬到任何客戶與其簽訂全權委託投資契約，則其全權委託許可將無效。",[13,14,15,16],"1 年","2 年","3 年","5 年",1,"全權委託投資業務","經營全權委託投資業務的許可，是針對實際營運而核發，不是可以無限期擱置的牌照。事業取得許可後若遲遲未與任何客戶簽訂全權委託投資契約，代表當初申請時所具備的人員、制度與作業能量並未實際運作，主管機關的審查基礎已經落空，因此規定自許可之日起二年內未與客戶簽訂全權委託投資契約者，其許可失其效力，(B) 正確。(A) 一年過短，不足以反映招攬客戶所需的準備期；(C) 三年、(D) 五年則讓許可長期閒置，還可能被拿來作為招攬時的信用宣傳，與許可制的管理目的不符。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"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":27,"question":28,"qno":29},"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？",14,{"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",23,1785904153769]