Shanghai Futures Exchange (hereinafter referred to as “The Exchange”) has been on continuous efforts in investigating and penalizing violations of relevant rules and regulations, so as to strengthen the risk management of the futures market, regulate the futures trading activities and protect the legitimate rights and interests of futures market participants. The enforcement against such violations in October 2022 are listed as follows:

In the aspect of administration of abnormal trading behaviors, the Exchange has dealt with a total of 26 cases, all were self-trades.The Exchange has separately notified the relevant clients by phone through members，placed 5 clients on the Exchange’s watchlist，notified 6 abnormal trading behaviors to all the members.The Exchange has suspended 1 client from opening new positions on the relevant futures contracts and notified to the market.

In the aspect of identification and cooperative investigation of accounts with actual control relationship.The Exchange has identified 3 groups of 5 clients that exist the actual control relationship.

In the aspect of inspecting cases violating trading rules，the Exchange has dealt with 6 cases suspected of violation trading rules，of which 4 cases were suspected of accommodation trade，1 case was violate the position management rules of the exchange，1 case was price fluctuation caused by market price order.

The Exchange reminds the investors to be in compliance with its rules in the trading activities and report accounts with actual control relationship.

Shanghai Futures Exchange
November 7，2022