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第六條和《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，第六條的規定。個別產品未經備案開展業務、 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，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，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，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、個別基金部分投資款被合作方挪 |
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