[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sitca_law-115-2-036":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)","c4",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-115-2-036","115-2",36,"考量氣候變遷及低碳轉型可能對投信事業營運造成影響，為完備業者落實氣候變遷之風險管理制度，下列何者敘述為非？",[13,14,15,16],"董事會應認知氣候風險為其所面臨的風險之一","對於氣候風險之管理，應由高階經理人督導公司氣候風險策略及業務計畫之擬定與執行","高階經理人或相關管理階層應負責發展及執行應對策略及計畫，定期向董事會報告","公司應依據實體風險及轉型風險可能對本身的財務影響作評估及揭露",1,"證券投資信託事業設置與管理","氣候風險屬公司治理層級的議題,依主管機關與公會對投信事業落實氣候風險管理的規範架構,督導公司氣候風險策略及業務計畫之擬定與執行者是董事會,而不是高階經理人,故(B)把督導責任下放,敘述錯誤。(A)董事會須先認知氣候風險是公司所面臨的風險之一,後續的辨識、衡量與因應才有依據;(C)高階經理人或相關管理階層承接董事會的決策,負責發展及執行應對策略與計畫,並定期向董事會報告,正是分層問責的設計;(D)公司應就實體風險(如極端氣候造成的資產損失)與轉型風險(如低碳政策成本)對自身財務的可能影響評估及揭露,三者均與規範相符。","medium",[22,26,30,33,37,41],{"id":23,"question":24,"qno":25},"sitca_law-114-3-032","下列何者不得擔任投信事業之發起人？",32,{"id":27,"question":28,"qno":29},"sitca_law-114-3-033","若有正當理由，投信事業未於期間內申請核發營業執照者，在期限屆滿前，得申請主管機關核准展延，但展延期不得超過幾個月？",33,{"id":31,"question":32,"qno":10},"sitca_law-114-3-036","下列何者非投信事業依法規應設置之部門？",{"id":34,"question":35,"qno":36},"sitca_law-114-3-037","甲曾受證券交易法第 66 條第 2 款(命令該證券商解除其董事、監察人或經理人職務)之處分，經執行完畢幾年後，才得受邀擔任投信事業之發起人？",37,{"id":38,"question":39,"qno":40},"sitca_law-115-1-006","以下何者非為證券投資信託事業得經營之業務？",6,{"id":42,"question":43,"qno":44},"sitca_law-115-1-024","投信事業運用自有資金，購買所有於國內募集之投信基金、對不特定人募集之期貨信託基金，及經核准之境外基金總金額，不得超過最近期公司淨值多少比率？",24,1785904153933]