[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-bank_audit_prac-49-055":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"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","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"bank_audit_prac-49-055","49",55,"依證券投資顧問事業從業人員行為準則第三條有關執業行為之原則性規定，財富管理從業人員應於其業務範圍內，注意業務進行與發展，對客戶的要求與疑問，適時提出說明，係屬於下列何種原則？",[13,14,15,16],"忠實誠信原則","勤勉原則","專業原則","保密原則",1,"財富管理業務查核","依證券投資顧問事業從業人員行為準則第三條，從業人員應於其業務範圍內，注意業務之進行與發展，對客戶的要求與疑問適時提出說明，強調的是持續留意、盡責回應的執業態度，屬(B)勤勉原則，故答案為(B)。(A)忠實誠信原則著重以客戶利益為先、迴避利益衝突；(C)專業原則要求具備並持續充實專業知能；(D)保密原則指妥慎保管客戶資料、不得洩漏或不當使用，三者的規範重心均與本題情境不符。","medium",[22,26,30,34,38,41],{"id":23,"question":24,"qno":25},"bank_audit_prac-47-051","銀行辦理財富管理業務時，有關法令之遵循，下列敘述何者錯誤？",51,{"id":27,"question":28,"qno":29},"bank_audit_prac-47-052","銀行辦理財富管理業務，對於客戶申訴之適當處理程序，下列敘述何者錯誤？",52,{"id":31,"question":32,"qno":33},"bank_audit_prac-47-053","財富管理業務係以諮詢意見之提供為中心，服務範圍可包括下列何者？ A.所有銀行業務 B.兼營信託業務 C.其他保險、證券相關業務",53,{"id":35,"question":36,"qno":37},"bank_audit_prac-47-054","有關「財富管理顧問業務」在客戶對商品所知有限下所為之銷售，下列程序何者非屬之？",54,{"id":39,"question":40,"qno":10},"bank_audit_prac-47-055","財富管理從業人員自律規範中，妥慎保管客戶資料，禁止洩露機密資料或有不當使用之情事，以建立客戶信賴之基礎，屬於何種原則？",{"id":42,"question":43,"qno":44},"bank_audit_prac-47-056","下列何者應在理財業務人員職業道德規範中明訂？",56,1787293937540]