為未備案的私募產品提供外包服務、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、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,個別產品未經備案開展業務、南方財經 |
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