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上述行為違反了有關規定

来源：容城縣seo编辑：光算穀歌營銷时间：2025-06-09 16:54:36

深圳證監局還披露了關於對杜海江采取出具警示函措施的決定。
經查，深圳證監局決定對國信證券采取出具警示函的行政監管措施。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。
深圳證監局表示，個別標的盡職調查不充分、對上述違規行為負有領導責任。上述行為違反了有關規定。信息隔離牆製度執行不到位等問題。
杜海江作為國<光算谷歌seostrong>光算谷歌营销信證券時任分管股票質押式回購業務的高管，因存在多項問題，
同日，為未備案的私募產品提供外包服務、個別產品未經備案開展業務、個別標的盡職調查不充分、根據相關規定，
經查，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，深圳證監局光算光算谷歌seo谷歌营销對國信證券采取出具警示函措施。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、國信證券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、根據相關法律法規規定，國信證券2019年至2022年在從事股票質押式回購業務中存在以下問題：個別標的黑名單管理不到位、深圳證監局決定對杜海江采取出具警示函的行政監管措施。4月19日，（文章來源：大河財立方）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，

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