[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-bank_audit_prac-47-062":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"bank_audit_prac","銀行內部控制與內部稽核測驗(一般金融)——銀行內部控制與內部稽核","c9",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"bank_audit_prac-47-062","47",62,"有關證券商在辦理證券承銷案件時，除先行保留自行認購部分外，其配售方式種類，下列敘述何者錯誤？",[13,14,15,16],"員工認購","競價拍賣","詢價圈購","公開申購配售",0,"票券及證券業務查核",1,"證券商辦理有價證券承銷時,除先行保留自行認購的部分外,其對外的配售方式包括競價拍賣、詢價圈購與公開申購配售三種;(A)員工認購並非法定的對外配售方式,故答案為(A)敘述錯誤。逐項說明正確的配售管道:(B)競價拍賣由投資人競相出價、價高者優先取得;(C)詢價圈購由承銷商先向特定投資人詢價、彙整需求後定價配售;(D)公開申購配售則開放一般投資大眾申購、以抽籤等方式分配。掌握此題須記住承銷對外銷售的三種正式方式,並理解「員工認購」屬於發行公司內部的認股安排,而非承銷商對外配售有價證券的途徑。稽核證券承銷業務時,應查核配售是否依規定方式辦理、有無不當保留或利益輸送,以及自行認購比例是否符合規範。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"bank_audit_prac-47-060","辦理債券交易業務時，對客戶以現金給付之交割價款達新臺幣多少元以上者，應查驗確認投資人身分，並留存交易紀錄憑證？",60,{"id":28,"question":29,"qno":30},"bank_audit_prac-47-061","票券商經接受客戶之委託，以行紀或居間買賣短期票券之行為，稱為下列何者？",61,{"id":32,"question":33,"qno":34},"bank_audit_prac-47-063","有關證券商與發行公司議定之包銷報酬或代銷手續費，分別不得超過包銷有價證券總金額與代銷有價證券總金額之多少百分比？",63,{"id":36,"question":37,"qno":38},"bank_audit_prac-48-041","承銷融資性商業本票發行面額，應以新臺幣多少元為最低單位？",41,{"id":40,"question":41,"qno":42},"bank_audit_prac-48-042","債票形式之本票最高發行面額不得大於新臺幣多少元？",42,{"id":44,"question":45,"qno":46},"bank_audit_prac-48-043","短期票券利息所得所採之分離課稅稅率為下列何者？",43,1787293935836]