[{"data":1,"prerenderedAt":34},["ShallowReactive",2],{"q-sitca_law-115-2-038":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)","c3",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-2-038","115-2",38,"為落實經理人之問責機制，證券投資顧問事業董事會應負有哪些責任？",[13,14,15,16],"選任經理人之責任並確實審其應具備之資格條件","監督經理人資格條件之維持與適任性","督導公司落實經理人之問責，並建立相關制度","選項(A)(B)(C)皆是",3,"證券投資顧問事業負責人與業務人員管理",1,"經理人問責機制的核心,是把選任、監督與制度建立三件事都放在董事會身上,故(D)才完整。(A)董事會應負選任經理人之責,並確實審查其是否具備法令要求的資格條件,不得只做形式核章;(B)資格條件不是到職當天符合就結束,董事會須持續監督經理人資格條件之維持與適任性,發現不適任應即處理;(C)董事會還要督導公司真正落實對經理人的問責,並建立相關制度,使責任歸屬與究責程序有所依循。三者分別對應事前把關、事中監督與制度化,缺一即無法形成完整的問責鏈,故只挑其中一項的(A)(B)(C)皆不完整。","easy",[23,27,30],{"id":24,"question":25,"qno":26},"sitca_law-115-1-022","投顧事業之經理人接受委任，對證券投資有關事項提供研究分析或推介建議，此行為視為下列何者授權範圍內之行為？",22,{"id":28,"question":29,"qno":10},"sitca_law-115-1-038","下列證券投顧事業人員之行為，何者符合規定？",{"id":31,"question":32,"qno":33},"sitca_law-115-2-041","甲為 A 證券投資顧問事業董事，乙為甲之配偶、丙為甲之親兄弟、丁為甲之祖父，下列關於甲、乙、丙、丁擔任職務之敘述，何者正確？",41,1785904153950]