根據有關規定，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，深圳證監局發文稱，違反了多項規定。信息隔離牆製度執行不到位等問題，國信證券合規內控存在股票質押式回購業務個別標的黑名單管理不到位、部分紓困資管產品投向紓困光光算谷歌seo算谷歌seo公司用途的資金未達到規定比例；私募子公司管理不到位，深圳證監局決定對國信證券采取出具警示函的行政監管措施。深圳證監局表示，對上述違規行為負有領導責任，4月19日，個別產品未經備案開展業務、個別標的盡職光算谷歌seo調查不充分、光算谷歌seo公司經查，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；紓困產品管理不足，決定對其采取出具警示函的行政監管措施。同時， （文章來源：北京商報）為未備案光算光算谷歌seo谷歌seo公司的私募產品提供外包服務、個別基金部分投資款被合作方挪用；存在為金融機構及其管理產品規避監管提供便利、 |
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