[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sitca_law-115-1-006":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)","c4",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sitca_law-115-1-006","115-1",6,"以下何者非為證券投資信託事業得經營之業務？",[13,14,15,16],"接受客戶全權委託投資業務","發行投資與推介建議出版品","發行受益憑證募集證券投資信託基金","運用證券投資信託基金從事證券及其相關商品之投資",1,"證券投資信託事業設置與管理","依證券投資信託及顧問法,投信事業得經營之業務為證券投資信託業務,即(C)發行受益憑證募集證券投資信託基金並(D)運用基金從事證券及其相關商品之投資,以及(A)接受客戶全權委託投資業務與經主管機關核准之其他有關業務。發行投資與推介建議之出版品,係對外提供分析意見或推介建議,屬證券投資顧問業務之範疇。投信之核心在募集並運用基金,投顧之核心在提供顧問服務,二者業務範圍分立,投信如欲為之須另依規定申請兼營,故(B)非投信事業本身得經營之業務。","easy",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"sitca_law-114-3-032","下列何者不得擔任投信事業之發起人？",32,{"id":27,"question":28,"qno":29},"sitca_law-114-3-033","若有正當理由，投信事業未於期間內申請核發營業執照者，在期限屆滿前，得申請主管機關核准展延，但展延期不得超過幾個月？",33,{"id":31,"question":32,"qno":33},"sitca_law-114-3-036","下列何者非投信事業依法規應設置之部門？",36,{"id":35,"question":36,"qno":37},"sitca_law-114-3-037","甲曾受證券交易法第 66 條第 2 款(命令該證券商解除其董事、監察人或經理人職務)之處分，經執行完畢幾年後，才得受邀擔任投信事業之發起人？",37,{"id":39,"question":40,"qno":41},"sitca_law-115-1-024","投信事業運用自有資金，購買所有於國內募集之投信基金、對不特定人募集之期貨信託基金，及經核准之境外基金總金額，不得超過最近期公司淨值多少比率？",24,{"id":43,"question":44,"qno":45},"sitca_law-115-1-027","下列有關投信事業之設置與組織之敘述，何者錯誤？",27,1787293968161]