[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-futures_law-114-3-042":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"futures_law","期貨商業務員資格測驗——期貨交易法規","c6",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"futures_law-114-3-042","114-3",42,"期貨交易輔助人代理期貨商接受期貨交易人開戶，以下何者錯誤？",[13,14,15,16],"期貨交易輔助人無須對客戶進行徵信工作","應指派登記合格之業務員向期貨交易人解說風險預告書","開戶資料應交由期貨交易人簽名或蓋章並加註日期存執","開戶資料送交委任期貨商確認並簽名或蓋章",0,"證券商經營期貨交易輔助業務管理規則",1,"本題以「何者錯誤」設問，考期貨交易輔助人代理期貨商受理開戶的正確程序。(A)敘述輔助人無須對客戶進行徵信，此為錯誤，代理開戶時仍應依規定辦理徵信，以評估交易人身分與風險承受能力，故選(A)。其餘均為正確程序：(B)須指派登記合格的業務員向交易人解說風險預告書，確保風險充分揭露；(C)開戶資料應交由交易人親自簽名或蓋章並加註日期後存執，以留存憑據；(D)開戶資料並須送交委任期貨商確認並簽章。作答關鍵在辨識「免徵信」為明顯違反把關義務的錯誤陳述。","medium",[23,27,31,35,38,42],{"id":24,"question":25,"qno":26},"futures_law-114-3-037","主管機關得退回證券商申請經營期貨交易輔助業務之情形，不包括下列何者？",37,{"id":28,"question":29,"qno":30},"futures_law-114-3-038","期貨交易輔助人應於每月幾日之前，向主管機關、期貨交易所或指定機構申報上月份業務量月報表？",38,{"id":32,"question":33,"qno":34},"futures_law-115-1-029","期貨交易輔助人與委任期貨商簽訂委任契約，其中應載明事項以下何者正確？",29,{"id":36,"question":37,"qno":30},"futures_law-115-1-034","證券商申請其分支機構經營期貨交易輔助業務，以下列何者為限？",{"id":39,"question":40,"qno":41},"futures_law-115-1-035","期貨交易輔助人接受客戶開戶後，應送交何處確認並簽名或蓋章？",35,{"id":43,"question":44,"qno":45},"futures_law-115-1-045","有關期貨交易輔助人於知悉或事實發生之日起五個營業日內，應依一定程序向主管機關申報之事項，不包括下列何者？",46,1787293963892]