Updated on Feb 02,2015
Announcement on Enforcement for Rule Violation during Q4, 2014
FROM: Shanghai Futures Exchange
SUBJECT: Announcement on Enforcement for Rule Violation during Q4, 2014
FILING SERIAL: SQBF [2015] No. 9
February 2, 2015
The enforcement for rule violation during Q4, 2014 is as follows:
1. There are four rule violation cases during Q4, 2014 and they are accommodation trades for fund transfer purpose between natural person customer and legal person customer or between natural person customers.
2. In accordance with Article 29 of the Enforcement Rules of the Shanghai Futures Exchange, the rule violators, which are one legal person customer and ten natural person customers, are imposed warning, public criticism and suspension of opening new positions for two or twelve months respectively by the Exchange, and are ordered for correcting the wrong behavior.
All members and investors shall enhance compliance and risk awareness and intensify account management to prevent rule violations against the Exchange.
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