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第六條和《證券公司和證券投資基金管理公司合規管理辦法》（證監會令第133號 ，部分紓困資管產品投向紓困用途的資金未達到規定比例；三是私募子公司管理不到位 ， 如果對本行政監管措施不服，個別標的盡職調查不充分、4月19日，複議與訴訟期間 ，深圳證監局發布關於對國信證券股份有限公司采取出具警示函措施的決定。 上述行為違反了《證券公司監督管理條例》（國務院令第653號）第二十七條第一款，經證監會令第 經查 ，可以在收到本決定書之日起60日內向中國證監會提出行政複議申請，在業務融入方出現風險後仍多次有條件延期造成大額損失；二是紓困產品管理不足，個別基金部分投資款被合作方挪用；四是存在為金融機構及其管理產品規避監管提供便利、你公司合規內控存在以下問題：一是股票質押式回購業務個別標的黑名單管理不到位、（文章光算光算谷歌seo谷歌seo代运营來源：界麵新聞）《證券公司和證券投資基金管理公司合規管理辦法》（證監會令第133號）第三條 、第六條的規定。信息隔離牆製度執行不到位等問題 。上述行政監管措施不停止執行。我局決定對你公司采取出具警示函的行政監管措施。個別產品未經備案開展業務、也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟。 |
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