因合规内控存在多项违规行为国信证券被深圳证监局出具警示函

北京商报04-19

北京商报讯（记者李海媛）4月19日，深圳证监局发文称，经查，国信证券合规内控存在股票质押式回购业务个别标的黑名单管理不到位、个别标的尽职调查不充分、在业务融入方出现风险后仍多次有条件延期造成大额损失；纾困产品管理不足，部分纾困资管产品投向纾困用途的资金未达到规定比例；私募子公司管理不到位，个别产品未经备案开展业务、个别基金部分投资款被合作方挪用；存在为金融机构及其管理产品规避监管提供便利、为...

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因合规内控存在多项违规行为 国信证券被深圳证监局出具警示函

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因合规内控存在多项违规行为国信证券被深圳证监局出具警示函