[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_law-114-3-046":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)","c9",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-114-3-046","114-3",46,"下列何者非投信投顧公會得對違反法令或自律規範之會員所為處置？",[13,14,15,16],"停權","課予違約金","命其限期改善","除籍",3,"公會自律規範與廣告行為規範",1,"依投信投顧公會章程及會員自律公約,公會對違反法令或自律規範之會員,得視情節輕重為警告、(C)命其限期改善、(B)課予違約金、(A)停止其應享有部分或全部權益之停權等處置,情節重大者並得函報主管機關依法處理,此等手段旨在督促改善而非終結其營業。惟投信投顧事業採強制入會制,非加入公會不得開業,會員資格之得喪繫於主管機關之特許,公會自不得逕以「除籍」剝奪會員資格而變相使其停業,故(D)非公會得為之處置,為本題答案。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sitca_law-114-3-034","下列有關投顧事業從事廣告及其他營業活動行為之敘述，何者為合法行為？",34,{"id":28,"question":29,"qno":30},"sitca_law-114-3-039","下列何者為證券投顧事業舉辦證券投資分析研討會，宣導推廣其公司業務時，應注意之禁止行為？",39,{"id":32,"question":33,"qno":34},"sitca_law-114-3-042","自動化投資顧問服務之瞭解客戶作業，應評估之項目包括下列哪一項？甲.客戶之投資知識與經驗；乙.客戶之財務狀況；丙.客戶之風險承受程度",42,{"id":36,"question":37,"qno":38},"sitca_law-114-3-047","證券投資顧問事業從事自動化投資顧問服務，以下何者為應告知客戶之注意事項？甲.客戶於使用前應詳閱服務內容或其他相關公開揭露資訊；乙.客戶應認知投資工具有其內在限制與現實情況存在潛在落差",47,{"id":40,"question":41,"qno":42},"sitca_law-114-3-048","依據投信投顧公會「會員及其銷售機構從事廣告及營業活動行為」規範，對有關投顧事業有聲媒體廣告應以語音或文字聲明下列何種核准事項？",48,{"id":44,"question":45,"qno":46},"sitca_law-115-1-026","下列何者非投信事業為廣告、公開說明會及其他營業促銷活動時之禁止行為？",26,1787293968042]