Updated on Oct 10,2018
Notice on Investigation and Punishment against Law and Rule Violations during September 2018
The Exchange has been putting its efforts in investigation and punishment against law and rule violations as per relevant laws and rules, so as to truly enhance risk prevention, intensify frontline regulation, normalize futures transaction behaviors and protect the legitimate rights of participants in futures market. The enforcement against such violations during September 2018 is as follows:
In September, there were totally 55 abnormal trading behaviors which triggered the disciplinary action by the Exchange against them, including 25 cases for exceeding the limit of self-matching deals, 29 cases for exceeding the limit of frequent placing and cancellation of orders, and one case for exceeding the limit of placing and cancellation of large-amount orders. There were two clients that have reached the threshold set by the Exchange on abnormal trading. Accordingly, the Exchange has notified to the whole market and suspended the clients from opening new positions.
In September, the Exchange has found no violation after examination in six cases suspected of violating trading rules.
We hereby notify the above.
Shanghai Futures Exchagne
October 10,2018
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