[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-114-3-027":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sec_sr_law","證券商高級業務員資格測驗——證券交易相關法規與實務","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_sr_law-114-3-027","114-3",27,"境外基金需經下列何種程序後，始得募集及銷售？",[13,14,15,16],"公會核准","證交所核准","公會申報生效","金管會核准或申報生效",3,"證券投資信託基金管理",1,"境外基金須經金融監督管理委員會核准或申報生效後，始得在國內募集及銷售，故(D)正確。境外基金之管理權限專屬金管會，透過核准制或申報生效制之事前審查，確保基金架構、資訊揭露與投資人保護符合我國法令要求，方能引進國內銷售。(A)公會核准、(C)公會申報生效均將權限誤置於同業公會，公會僅具自律功能而非法定核准機關；(B)證交所核准更非其職掌，證交所主要負責交易市場之營運與監理。作答時應扣緊「主管機關為金管會」及「核准或申報生效」兩種法定程序，並將境外基金與國內募集基金之審查機關與程序一併釐清，避免誤選自律機構。","easy",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-021","受益憑證之買回價格，以請求買回書面到達證券投資信託事業或其代理機構之何時之基金淨資產核算？",21,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-023","信託業可申請兼營下列哪些業務？",23,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-024","依「證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法」規定，證券投資信託事業或證券投資顧問事業以委任方式經營全權委託投資業務，有關資產保管之方式下列何者正確？",24,{"id":36,"question":37,"qno":38},"sec_sr_law-114-3-032","境外基金募集及銷售案件，主管機關得委託以下何單位受理申請案件？",32,{"id":40,"question":41,"qno":42},"sec_sr_law-115-1-009","證券投資信託事業之董事、監察人、經理人、業務人員及其他受僱人員，不得為下列何種行為？",9,{"id":44,"question":45,"qno":46},"sec_sr_law-115-1-010","證券投資信託事業違反「證券投資信託及顧問法」或依該法所發布之命令者，除依證券投資信託及顧問法處罰外，金融監督管理委員會並得視情節輕重，為何處分？",10,1787293962042]