[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-2-042":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-115-2-042","115-2",42,"依據會員及其銷售機構從事廣告及營業活動行為規範對於基金廣告之規定，以下敘述何者正確？",[13,14,15,16],"廣告中得以獲利為廣告，只要有事實或理論根據，不須同時報導其風險","未經金管會核准募集之基金可先行從事廣告活動測試市場","平面廣告應揭示警語，有聲廣告應以影像或聲音揭示警語","單純登載投資管理專門知識或服務等標榜企業形象而不涉及產品之廣告亦應標示警語",2,"公會自律規範與廣告行為規範",1,"基金廣告必須讓投資人真正看得到或聽得到風險警語,因此平面廣告以文字揭示,有聲廣告則以影像或聲音方式揭示,依媒體性質決定呈現方法,(C)正確。(A)以獲利為訴求的廣告,即使有事實或理論根據,仍須同時報導其風險,不能只講報酬不講風險;(B)基金須經金管會核准募集或申報生效後才能對外廣告,尚未核准就先行廣告測試市場,屬於違規預告;(D)單純登載投資管理專門知識或服務、標榜企業形象而不涉及個別產品的廣告,並非基金銷售廣告,得免標示警語,選項說「亦應標示」正好與規定相反。","medium",[23,27,31,34,38,42],{"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":10},"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",{"id":35,"question":36,"qno":37},"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":39,"question":40,"qno":41},"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":43,"question":44,"qno":45},"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？",48,1785904153993]