[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_sec_law-115-2-016":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":23},"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","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"canonicalId":21,"difficulty":22},"sitca_sec_law-115-2-016","115-2",16,"證券商得接受私募股權基金相關機構委任，就該證券商子公司擔任普通合夥人之私募股權基金及受託管理之私募股權基金引介專業投資機構及高資產客戶參與投資及提供相關服務，證券商辦理本業務，每一引介投資之私募股權基金之高資產客戶人數總數不得超過多少人？",[13,14,15,16],"三十五人","五十人","九十九人","七十人",2,"證券商管理規則",1,"證券商經核准辦理私募股權基金引介業務時，得引介的對象限於專業投資機構及符合資格條件的高資產客戶；由於私募本質上不得對不特定人公開招募，主管機關對非屬專業投資機構的對象另設人數上限，規定每一引介投資之私募股權基金，其高資產客戶人數總數不得超過九十九人，故(C)正確。(A)三十五人是證券交易法第四十三條之六私募有價證券時，對專業投資機構以外應募人所設的人數上限，適用場合不同，是本題最容易誤選的干擾項。(B)五十人與(D)七十人均非本業務所定之數額。","sec_sr_law-115-2-016","hard",[24,28,31,35,39,43],{"id":25,"question":26,"qno":27},"sitca_sec_law-114-3-015","證券商轉投資總金額不得超過其淨值百分之多少？",15,{"id":29,"question":30,"qno":10},"sitca_sec_law-114-3-016","證券商應於何時加入證券商業同業公會？",{"id":32,"question":33,"qno":34},"sitca_sec_law-114-3-017","下列何者為非？",17,{"id":36,"question":37,"qno":38},"sitca_sec_law-114-3-018","證券商除由金融機構兼營者依有關法令規定外，其經營自行買賣有價證券業務者，持有任一本國公司股份之總額不得超過該公司已發行股份總額之___；持有任一本國公司所發行有價證券之成本總額，並不得超過該證券商淨值之___。",13,{"id":40,"question":41,"qno":42},"sitca_sec_law-114-3-019","證券商之加入同業公會制度相關規定是：",19,{"id":44,"question":45,"qno":46},"sitca_sec_law-114-3-031","證券商接受委託買賣外國虛擬資產 ETF，應建立適當之虛擬資產 ETF 商品適合度制度，其內容至少應包括：",31,1785904158020]