[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sitca_law-114-3-006":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sitca_law","投信投顧業務員資格測驗——投信投顧相關法規(含自律規範)","c1",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-114-3-006","114-3",6,"下列證券投資信託公司之內部人，何者需負忠實義務之責任？甲.基金經理人；乙.公司業務部協理；丙.經手申購業務之人員",[13,14,15,16],"甲、乙","乙、丙","甲、丙","甲、乙、丙皆是",3,"證券投資信託及顧問法",1,"證券投資信託及顧問法第7條規定,投信事業及其負責人、業務人員與其他受僱人,應依本法、本法授權訂定之命令及契約之規定,以善良管理人之注意義務及忠實義務,本誠實信用原則執行業務;至於「不得圖謀自己或第三人利益」的具體禁止行為,則規定在依該法授權訂定的管理規則中。該義務範圍以「是否為事業處理業務之人」為斷,不以職稱或有無直接管理基金為限:基金經理人(甲)、業務部協理(乙)、經手申購業務之人員(丙)均屬負責人、業務人員或受僱人,皆負忠實義務,故選(D);(A)(B)(C)均漏列其中一類人員。","easy",[23,26,30,34,38,42],{"id":24,"question":25,"qno":19},"sitca_law-114-3-001","對客戶委任交付或信託移轉之委託投資資產，就有價證券、證券相關商品或其他經主管機關核准項目之投資或交易為價值分析、投資判斷，並基於該投資判斷，為客戶執行投資或交易之業務。以上是形容下列何項業務？",{"id":27,"question":28,"qno":29},"sitca_law-114-3-007","證券投資信託基金之來源不包含以下何者？",7,{"id":31,"question":32,"qno":33},"sitca_law-114-3-009","下列敘述何者正確？",9,{"id":35,"question":36,"qno":37},"sitca_law-114-3-019","若甲證券投資信託事業因故意或過失致損害基金之資產，下列何者應為基金受益人之權益向其追償？",19,{"id":39,"question":40,"qno":41},"sitca_law-114-3-050","投信事業及投顧事業之董事、監察人、經理人或受僱人執行職務有違反證券投資信託及顧問法或其他有關法令之行為，足以影響業務之正常執行時，主管機關得隨時命令該事業停止其執行業務，期限最長為：",50,{"id":43,"question":44,"qno":29},"sitca_law-115-1-007","下列有關投信基金保管之敘述，何者有誤？",1787293967534]