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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，複議與訴訟期間，第六條的規定。《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、4月19日，（文章來源：界麵新聞）全文如下： 經查，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、個別標的 如果對本行政監管措施不服，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日內向中國光算谷歌seo證監會提出行政複議申請，光算谷歌seo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。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，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 ，經證監會令第166號修正）第三條、信息隔離牆製度執行不到位等問題。個別產品未經備案開展業務、 |
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