[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_sec_law-115-1-017":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"sitca_sec_law","投信投顧業務員資格測驗——證券交易相關法規與實務","c1",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_sec_law-115-1-017","115-1",17,"法人違反「證券交易法」之規定者，依該法規定之罰則，應如何處罰？",[13,14,15,16],"處罰該法人","處罰其行為之負責人","一律處罰其董事","處罰其股東",1,"證券交易法(含施行細則)","證交法第179條規定,法人違反本法之規定者,依本章各條之規定處罰其為行為之負責人,故(B)正確。(A)刑罰不處罰法人本身;(C)非一律處罰全體董事,僅及於實際行為之負責人;(D)股東更非處罰對象。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"sitca_sec_law-114-3-007","設置獨立董事之公司，董事會設有常務董事者，常務董事中獨立董事人數：",7,{"id":27,"question":28,"qno":29},"sitca_sec_law-114-3-009","公司依「證券交易法」第十四條之二第一項規定，設置獨立董事其人數不得少於多少？",9,{"id":31,"question":32,"qno":33},"sitca_sec_law-114-3-011","關於審計委員會之獨立董事成員職權，下列敘述何者正確？",11,{"id":35,"question":36,"qno":37},"sitca_sec_law-114-3-012","甲為 Z 上市公司之獨立董事，持有 Z 公司已發行股份 20 萬股。若甲於民國 113 年 11 月 1日將所持有之股票 10 萬股向 X 商業銀行質押借款，下列敘述，何者正確？",12,{"id":39,"question":40,"qno":41},"sitca_sec_law-114-3-013","違反內線交易規定，損害賠償額度之計算標準，就消息未公開前或公開後多少小時內，其買入或賣出該股票之價格與消息公開後十個營業日收盤平均價格的差額？",13,{"id":43,"question":44,"qno":45},"sitca_sec_law-114-3-025","為使保護機構得以順利進行訴訟，以爭取投資人、交易人之權利，投保法特別在裁判費與擔保費用方面給予優遇，如依「證券投資人及期貨交易人保護法」§35 規定，訴訟標的金額或價額超過新臺幣___元者，超過部分暫免繳裁判費？",25,1784190279650]