[{"data":1,"prerenderedAt":34},["ShallowReactive",2],{"q-sitca_law-115-1-038":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-115-1-038","115-1",38,"下列證券投顧事業人員之行為，何者符合規定？",[13,14,15,16],"為提供完整之服務，保管客戶之印鑑與存摺","同意他人靠行使用該投顧事業之名義執行業務","與客戶為投資有價證券收益共享或損失分擔之約定","依法令規定，代客戶查詢委任事項",3,"證券投資顧問事業負責人與業務人員管理",1,"依法令規定代客戶查詢委任事項,屬投顧事業提供服務之正當範圍,故(D)符合規定。(A)保管客戶之印鑑與存摺,易生挪用客戶資產之風險;(B)同意他人靠行使用該投顧事業之名義執行業務,使不具資格者得規避監理;(C)與客戶為投資有價證券收益共享或損失分擔之約定,將使顧問立場與客戶利益混同、變相保證獲利,三者均為證券投資顧問事業負責人與業務人員管理規則明定之禁止行為。","easy",[23,27,30],{"id":24,"question":25,"qno":26},"sitca_law-115-1-022","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？",22,{"id":28,"question":29,"qno":10},"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？",41,1787293968594]