[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-115-2-037":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)","c9",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-2-037","115-2",37,"下列何者為投顧事業得為之行為？",[13,14,15,16],"自行製播證券投資分析節目，找藝人來擔任節目主持人","出資邀請網紅招攬客戶","舊客戶推薦介紹新客戶加入會員成功，給予舊客戶推廣獎勵金","以通訊軟體轉發分析師的股市分析建議給會員",3,"公會自律規範與廣告行為規範",1,"投顧事業與會員之間本就是提供證券投資分析意見的契約關係,透過通訊軟體把分析人員的股市分析建議轉發給已簽約會員,屬於正常的業務履行,故(D)可為。(A)證券投資分析節目的主持人與來賓應由具備投顧從業人員資格者擔任,找不具資格的藝人主持,等於讓非從業人員對外從事投資分析;(B)出資邀請網紅招攬客戶,同樣是借用不具業務員資格者的名義對外招攬;(C)對舊客戶推薦新會員成功即發放推廣獎勵金,是利用不具資格之人招攬並給付報酬,屬不當招攬。三者都踩到「招攬須由具資格之從業人員為之」這條紅線。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"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":28,"question":29,"qno":30},"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":32,"question":33,"qno":34},"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":36,"question":37,"qno":38},"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":40,"question":41,"qno":42},"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":44,"question":45,"qno":46},"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？",48,1785904153940]