[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sitca_law-114-3-040":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"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)","c2",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-114-3-040","114-3",40,"投顧事業應於何時加入同業公會？",[13,14,15,16],"申請許可設立時","開業前","申請核發營業執照時","開業滿一年",1,"證券投資顧問事業設置與管理","依證券投資信託及顧問法之強制入會規定,投信、投顧事業非加入同業公會不得開業,同業公會非有正當理由亦不得拒絕其加入,故投顧事業應於開業前完成入會,(B)正確。強制入會之設計,係使公會之自律規範得以有效拘束全體業者。(A)申請許可設立時公司尚未成立,無從入會;(C)申請核發營業執照時雖須檢附公會同意入會之證明,惟法律所設之界線係「開業」而非核照;(D)開業滿一年才加入,等同未入會即開業,已屬違法,均不可選。","easy",[22,26,29,33,37,41],{"id":23,"question":24,"qno":25},"sitca_law-114-3-038","有關投顧事業之申請設立，依目前法律規範作業程序下列何者為正確？甲.分為二階段申請程序；乙.申請許可後一個月內應即加入投信投顧公會；丙.第二階段為申請核發營業執照",38,{"id":27,"question":28,"qno":17},"sitca_law-115-1-001","下列何者為證券投顧公司不得經營之業務？",{"id":30,"question":31,"qno":32},"sitca_law-115-1-037","有關投顧事業之設立申請，下列敘述何者錯誤？",37,{"id":34,"question":35,"qno":36},"sitca_law-115-2-034","信託業兼營投顧業務加入同業公會之規範，下列敘述何者正確？ 甲.屬於強制性規範；乙.可自願性加入公會；丙.得於開業後一個月內加入；丁.於申請營業執照即應加入公會；戊.應於開辦兼營該項業務前加入公會",34,{"id":38,"question":39,"qno":40},"sitca_law-115-2-044","提供自動化投資顧問服務者，實收資本額應達新臺幣多少金額以上？",44,{"id":42,"question":43,"qno":44},"sitca_law-115-2-049","投顧事業為辦理家族辦公室整合顧問業務，得與提供哪些服務之專業人士或業者合作，協助客戶進行以家業傳承與財富傳承為目的之顧問業務？ 甲.信託；乙.財務、會計；丙.法律；丁.稅務；戊.慈善；己.教育服務",49,1787293967963]