Updated on Nov 04,2014
Announcement on Enforcement for Rule Violation during Q3, 2014
FROM: The Shanghai Futures Exchange
SUBJECT: Announcement on Enforcement for Rule Violation during Q3, 2014
FILING SERIAL: SQBG [2014] No. 127
November 4, 2014
The enforcement for rule violation during Q3, 2014 is as follows:
1. There is one rule violation case during Q3, 2014 and it is an accommodation trade between natural person customers for fund transfer purpose.
2. In accordance with Article 29 of the Enforcement Rules of the Shanghai Futures Exchange, the rule violator was imposed public criticism and suspension of opening new positions for two months by the Exchange, and was 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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