[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-115-2-026":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-115-2-026","115-2",26,"投資人甲將其資產一千萬元全權委託投顧公司乙處理，由乙投資於上市股票、政府債券及公司債，對於乙購入之有價證券：",[13,14,15,16],"應由乙依約定保管","全權委託保管機構之債權人得主張權利","投資人甲若為信託業，得自行保管","投顧公司乙若與投資人甲另有約定，可替其保管有價證券",2,"全權委託投資業務",1,"全權委託採款券分離的設計：客戶的委託投資資產必須交由全權委託保管機構保管，受任人只有投資判斷與執行的權限，碰不到資產本身，以杜絕業者挪用。但客戶本身若是信託業等受金融監理的機構，法令允許其自行保管，(C) 正確。(A) 由投顧公司乙依約定保管，正是款券分離所要防堵的情形。(B) 委託投資資產獨立於保管機構的自有財產，保管機構的債權人不得對之主張權利，這是資產獨立性的核心保障。(D) 受任的投顧不得以任何理由保管委託投資資產，不因當事人約定而排除；法令的例外只開放客戶端自行保管。","medium",[23,27,31,35,39,43],{"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":30},"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":32,"question":33,"qno":34},"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":36,"question":37,"qno":38},"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":40,"question":41,"qno":42},"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":44,"question":45,"qno":46},"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",23,1785904153843]