[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-2-023":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)","c9",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-115-2-023","115-2",23,"投信事業為廣告、公開說明會及其他營業促銷活動，應於事實發生後幾日內向同業公會申報？",[13,14,15,16],"5 日","10 日","15 日","20 日",1,"公會自律規範與廣告行為規範","廣告與公開說明會是投資人接觸基金資訊的第一線，內容若誇大績效或隱匿風險，影響範圍極廣，因此採事後申報制：投信事業從事廣告、公開說明會及其他營業促銷活動，應於事實發生後十日內向同業公會申報，由公會進行事後審查，發現違規再依自律規範處置，(B) 正確。採事後申報而非事前核准，是為了兼顧行銷時效；但期限訂得短，公會才能及時發現問題並要求停止使用。(A) 五日過於急促，(C) 十五日、(D) 二十日則使違規文宣在市場上流通過久，都不是法定的申報期限。","easy",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"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":27,"question":28,"qno":29},"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":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？",48,1785904153816]