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個別產品未經備案開展業務、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、信息隔離牆製度執行不到位等問題 。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 ，（文章光光算谷歌seo算谷歌seo公司來源：讀創）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，個別標的盡職調查不充分、為未備案的私募產品提供外包服務、根據相關規光算谷歌seo定，光算谷歌seo公司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、 經查，我局決定對你公司采取出具警示函的行政監管措施。4月光光算谷歌seo算谷歌seo公司19日，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。 |
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