[{"data":1,"prerenderedAt":33},["ShallowReactive",2],{"q-sitca_law-115-2-041":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)","c3",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-115-2-041","115-2",41,"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？",[13,14,15,16],"若甲擔任其他票券金融公司之董事、監察人，推定有利益衝突之情事","若乙擔任其他證券投資信託事業之董事、監察人，推定有利益衝突之情事","若丙擔任其他證券投資顧問事業之董事、監察人，推定有利益衝突之情事","若丁擔任其他金融控股公司之董事、監察人，推定有利益衝突之情事",1,"證券投資顧問事業負責人與業務人員管理","投顧事業負責人與業務人員的利益衝突推定,人的範圍限於本人及其配偶,業別範圍則限於其他證券投資信託事業或證券投資顧問事業等同業。(B)乙是甲的配偶,擔任其他證券投資信託事業的董事、監察人,人與業別兩個條件同時成立,推定有利益衝突,敘述正確。(A)票券金融公司不是投信投顧同業,不在推定的業別範圍;(C)丙是親兄弟、(D)丁是祖父,雖然都是親屬,但推定並不及於配偶以外的親屬,(D)所指的金融控股公司也不是同業,故三者皆不成立利益衝突之推定。","hard",[22,26,30],{"id":23,"question":24,"qno":25},"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":27,"question":28,"qno":29},"sitca_law-115-1-038","下列證券投顧事業人員之行為，何者符合規定？",38,{"id":31,"question":32,"qno":29},"sitca_law-115-2-038","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？",1785904153982]