[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-115-2-047":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)","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-2-047","115-2",47,"全權委託投資業務之受任人因解散等事由，致不能繼續從事全權委託投資業務時，受任人後續作業應如何處理？ 甲.應即通知客戶；乙.應即通知全權委託保管機構；丙.應通知證券商及其他交易對象停止受託買賣及相關交易",[13,14,15,16],"僅甲","僅乙","甲、丙","甲、乙、丙均正確",3,"全權委託投資業務",1,"受任人因解散、停業、歇業或許可經撤銷、廢止等事由而不能繼續執行全權委託投資業務時,善後重點是讓客戶、保管機構與交易對手三方同步知悉並停止後續交易,避免資產在無人管理的狀態下繼續變動,故甲乙丙都要做,(D)正確。甲:客戶是資產的所有權人,必須立即獲知並決定後續安排;乙:全權委託保管機構負責保管資產與辦理交割,未通知即無法配合停止作業;丙:證券商及其他交易對象若沒有接到停止指示,可能繼續受託買賣而衍生交易糾紛。(A)(B)(C)都因漏列而不完整。","easy",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sitca_law-114-3-013","針對非專業投資機構之客戶，投信投顧業務員為全權委託之投資執行，應遵守以下哪些事項？甲.不得依投資經理人之口頭指示執行；乙.投資經理人交付業務員執行買賣時應作成紀錄；丙.執行結果應於次日作成投資執行表；丁.投資執行表不須說明投資差異原因",13,{"id":28,"question":29,"qno":30},"sitca_law-114-3-014","投信或投顧公司為受任人接受客戶全權委託投資業務，共同簽訂之三方權義協定書，係為何三方？",14,{"id":32,"question":33,"qno":34},"sitca_law-114-3-015","針對非專業投資機構之客戶，全權委託投資之投資檢討，應由受任人每隔多少時間至少一次檢討各全權委託投資帳戶投資決策過程、內容及績效，並由各全權委託投資帳戶之投資經理人作成投資檢討？",15,{"id":36,"question":37,"qno":38},"sitca_law-114-3-020","投信投顧事業經營全權委託投資業務，下列何者可將全權委託投資契約之全部或部分複委任他人履行？",20,{"id":40,"question":41,"qno":42},"sitca_law-114-3-021","全權委託投資資產為勞工退休金條例年金保險專設帳簿資產者，下列敘述何者正確？",21,{"id":44,"question":45,"qno":46},"sitca_law-114-3-023","投顧事業於簽訂全權委託契約前，對於委任之投資客戶（專業投資機構且委託投資資產已指定保管機構者除外）應履行下列哪些事項？甲.應提供七日以上之期間讓客戶審閱全部條款內容；乙.瞭解客戶之資力與投資經驗；丙.交付全權委託投資說明書",23,1785904154040]