[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sitca_law-115-2-034":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)","c2",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-115-2-034","115-2",34,"信託業兼營投顧業務加入同業公會之規範，下列敘述何者正確？ 甲.屬於強制性規範；乙.可自願性加入公會；丙.得於開業後一個月內加入；丁.於申請營業執照即應加入公會；戊.應於開辦兼營該項業務前加入公會",[13,14,15,16],"甲、丙","甲、戊","乙、戊","乙、丙",1,"證券投資顧問事業設置與管理","同業公會採強制入會制，法令明定證券投資信託事業與證券投資顧問事業非加入同業公會不得開業，信託業兼營投顧業務同樣受此拘束，並非可自由選擇，故甲正確而乙錯誤。至於時點，應在開辦兼營該項業務前完成入會，公會才能自業務開辦的第一天起，就把該機構與其業務人員納入自律規範與登錄管理，故戊正確，答案為 (B)。丙所稱開業後一個月內加入，形同容許有一段無會籍的營業空窗；丁把時點提前到申請營業執照即應加入，則忽略執照尚未核發前業務未必開辦，與實際管理需求不合。","medium",[22,26,30,33,37,41],{"id":23,"question":24,"qno":25},"sitca_law-114-3-038","有關投顧事業之申請設立，依目前法律規範作業程序下列何者為正確？甲.分為二階段申請程序；乙.申請許可後一個月內應即加入投信投顧公會；丙.第二階段為申請核發營業執照",38,{"id":27,"question":28,"qno":29},"sitca_law-114-3-040","投顧事業應於何時加入同業公會？",40,{"id":31,"question":32,"qno":17},"sitca_law-115-1-001","下列何者為證券投顧公司不得經營之業務？",{"id":34,"question":35,"qno":36},"sitca_law-115-1-037","有關投顧事業之設立申請，下列敘述何者錯誤？",37,{"id":38,"question":39,"qno":40},"sitca_law-115-2-044","提供自動化投資顧問服務者，實收資本額應達新臺幣多少金額以上？",44,{"id":42,"question":43,"qno":44},"sitca_law-115-2-049","投顧事業為辦理家族辦公室整合顧問業務，得與提供哪些服務之專業人士或業者合作，協助客戶進行以家業傳承與財富傳承為目的之顧問業務？ 甲.信託；乙.財務、會計；丙.法律；丁.稅務；戊.慈善；己.教育服務",49,1785904153906]