[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-1-009":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-115-1-009","115-1",9,"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？",[13,14,15,16],"以職務上所知悉之消息洩漏予他人","為虛偽、詐欺或其他足致他人誤信之行為","運用證券投資信託基金買賣有價證券及其相關商品時，收取證券商退還手續費","選項(A)(B)(C)皆不得為之",3,"證券投資信託基金管理",1,"依證券投資信託及顧問法與證券投資信託事業管理規則所定之禁止行為,投信事業之董事、監察人、經理人、業務人員及其他受僱人員,(A)不得以職務上所知悉之消息洩漏予他人、(B)不得為虛偽、詐欺或其他足致他人誤信之行為、(C)於運用基金買賣有價證券及其相關商品時,亦不得收取證券商退還之手續費或其他利益,以杜絕利益衝突與圖利個人。三者皆在禁止之列,故正解(D);只選其中任一項均不完整。","medium",[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-114-3-027","境外基金需經下列何種程序後，始得募集及銷售？",27,{"id":40,"question":41,"qno":42},"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":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？",10,1787293962391]