[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-1-001":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":10,"explanation":19,"difficulty":20},"sitca_law-115-1-001","115-1",1,"下列何者為證券投顧公司不得經營之業務？",[13,14,15,16],"代銷境外基金","推介顧問境外基金","全權委託投資業務","受託買賣有價證券",3,"證券投資顧問事業設置與管理","依證券投資信託及顧問法及相關規定,投顧事業得經營證券投資顧問業務、全權委託投資業務,以及經核准之境外基金總代理、銷售(代銷)、推介顧問等業務,故(A)代銷境外基金、(B)推介顧問境外基金、(C)全權委託投資業務均屬其得經營之範圍。受託買賣有價證券涉及客戶款券之受託與交割,係證券經紀商依證券交易法特許經營之專屬業務;投顧之核心在提供分析意見與推介建議,除全權委託外並不經手客戶款券,故不得經營受託買賣,選(D)。","easy",[22,26,30,34,38,42],{"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":29},"sitca_law-114-3-040","投顧事業應於何時加入同業公會？",40,{"id":31,"question":32,"qno":33},"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":35,"question":36,"qno":37},"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":39,"question":40,"qno":41},"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":43,"question":44,"qno":45},"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",49,1787293968096]