| 深圳證監局 2024年4月17日（文章來源 ：深圳證監局）深圳證監局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 國信證券股份有限公司： 經查，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。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，我局決定對你公司采取出具警示函的行政監管措施。 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，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，複議與光算谷歌seo光算谷歌营销訴訟期間，信息隔離牆製度執行不到位等問題。 如果對本行政監管措施不服，第六條的規定。個別標的盡職調查不充分、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，《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、第六條和《證券公司光算谷歌seo和光算谷歌营销證券投資基金管理公司合規管理辦法》（證監會令第133號 ，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、個別產品未經備案開展業務、為未備案的私募產品提供外包服務、上述行政監管措施不停止執行 。經證監會令第166號修正）第三條、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、根據修正前和修正後光算谷歌营销光算谷歌seo的《證券公司和證券投資基金管理公司合規管理辦法》第三十二條第一款的規定， |
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