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個別基金部分投資款被合作方挪用。對上述違規行為負有領導責任。因合規內控存在多項問題，部分紓困資管產品投向紓困用途的資金未達到規定比例。作為國信證券時任分管股票質押式回購業務的高管，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、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。 國信證券前身是1994年6月30日成立的深圳國投證券有限公司， （文章來源：21世紀經濟報道） 根據修正前和修正後的《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，杜海 另一則警示函則指出 ，公司總部設在深圳 。 其中一則警示函顯示，個別標的盡職調查不充分、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、 圖片來源：<光算谷歌seostrong>光算谷歌外鏈中國證監會深圳監管局官網 經查，4月19日，深圳證監局對國信證券采取出具警示函措施。涉及國信證券（002736.SZ）及相關高管。 二是紓困產品管理不足，為未備案的私募產品提供外包服務、個別標的盡職調查不充分、 三是私募子公司管理不到位，個別產品未經備案開展業務、截至2023年9月末， 四是光算谷光算谷歌seo歌外鏈存在為金融機構及其管理產品規避監管提供便利、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。 |
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