[{"data":1,"prerenderedAt":34},["ShallowReactive",2],{"q-sitca_law-115-1-022":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)","c3",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sitca_law-115-1-022","115-1",22,"投顧事業之經理人接受委任，對證券投資有關事項提供研究分析或推介建議，此行為視為下列何者授權範圍內之行為？",[13,14,15,16],"金融監督管理委員會","經理人本人","證券投資信託暨顧問商業同業公會","證券投資顧問事業",3,"證券投資顧問事業負責人與業務人員管理",1,"依證券投資顧問事業負責人與業務人員管理規則,投顧事業之業務人員(含經理人)接受委任,對證券投資有關事項提供研究分析或推介建議等執行業務之行為,視為該事業授權範圍內之行為,由事業對客戶負責,俾免事業以「係員工個人行為」為由卸責;業務人員並應辦理登錄,未經登錄不得執行業務,故選(D)。(A)金管會為主管機關、(C)投信投顧公會為自律組織,分別行使監理與自律職能,均非授權主體;(B)行為責任亦非歸屬於經理人個人。","easy",[23,27,30],{"id":24,"question":25,"qno":26},"sitca_law-115-1-038","下列證券投顧事業人員之行為，何者符合規定？",38,{"id":28,"question":29,"qno":26},"sitca_law-115-2-038","為落實經理人之問責機制，證券投資顧問事業董事會應負有哪些責任？",{"id":31,"question":32,"qno":33},"sitca_law-115-2-041","甲為 A 證券投資顧問事業董事，乙為甲之配偶、丙為甲之親兄弟、丁為甲之祖父，下列關於甲、乙、丙、丁擔任職務之敘述，何者正確？",41,1787293968382]