[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-2-045":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)","c1",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-2-045","115-2",45,"有關證券投資信託及顧問法第 105 條之 1 之特別背信罪，下列敘述何者有誤？",[13,14,15,16],"適用對象包括證券投資信託事業、證券投資顧問事業之董事、監察人、經理人或受僱人","須有意圖為自己或第三人不法之利益，或損害證券投資信託基金資產、委託投資資產之利益，而為違背其職務之行為","須致生損害於證券投資信託基金資產、委託投資資產或其他利益者達 500 萬元","處 3 年以上 10 年以下有期徒刑，得併科新臺幣 1 千萬元以上 2 億元以下罰金",2,"證券投資信託及顧問法",1,"(C)有誤。本罪的構成要件是「違背職務之行為致生損害」,只要致生損害於證券投資信託基金資產、委託投資資產或其他利益即已成立,並沒有「須達新臺幣五百萬元」這道數額門檻,(C)等於憑空替本罪加上一個金額要件。(A)正確,適用對象為投信事業、投顧事業之董事、監察人、經理人或受僱人,屬身分犯;(B)正確,主觀上須有為自己或第三人不法利益、或損害基金資產與委託投資資產利益之意圖,客觀上須有違背職務之行為;(D)所述三年以上十年以下有期徒刑、得併科新臺幣一千萬元以上二億元以下罰金,與條文相符。","hard",[23,26,30,34,38,42],{"id":24,"question":25,"qno":19},"sitca_law-114-3-001","對客戶委任交付或信託移轉之委託投資資產，就有價證券、證券相關商品或其他經主管機關核准項目之投資或交易為價值分析、投資判斷，並基於該投資判斷，為客戶執行投資或交易之業務。以上是形容下列何項業務？",{"id":27,"question":28,"qno":29},"sitca_law-114-3-006","下列證券投資信託公司之內部人，何者需負忠實義務之責任？甲.基金經理人；乙.公司業務部協理；丙.經手申購業務之人員",6,{"id":31,"question":32,"qno":33},"sitca_law-114-3-007","證券投資信託基金之來源不包含以下何者？",7,{"id":35,"question":36,"qno":37},"sitca_law-114-3-009","下列敘述何者正確？",9,{"id":39,"question":40,"qno":41},"sitca_law-114-3-019","若甲證券投資信託事業因故意或過失致損害基金之資產，下列何者應為基金受益人之權益向其追償？",19,{"id":43,"question":44,"qno":45},"sitca_law-114-3-050","投信事業及投顧事業之董事、監察人、經理人或受僱人執行職務有違反證券投資信託及顧問法或其他有關法令之行為，足以影響業務之正常執行時，主管機關得隨時命令該事業停止其執行業務，期限最長為：",50,1785904154030]