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個別產品未經備案開展業務、 深圳證監局表示，上述行為違反了有關規定。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，個別標的盡職調查不充分、 同日 ，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，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，深圳證監局對國 杜海江作為國信證券時任分管股票質押式回購業務的高管，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。根據相關法律法規規定，因存在多項問題， 經查，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、個別標的盡職調查不充分、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。根據相關規定， |
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