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 November 2022 are listed as follows:
　　In the aspect of administration of abnormal trading behaviors, the Exchange has dealt with a total of 29 cases, among which 28 cases were self-trades，1 case was exceeding the limit of placing and cancellation of large-amount orders.The Exchange has separately notified the relevant clients by phone through members，placed 5 clients on the Exchange’s watchlist，notified 5 abnormal trading behaviors to all the members.
　　In the aspect of identification and cooperative investigation of accounts with actual control relationship.The Exchange has identified 229 groups of 553 clients that exist the actual control relationship and urged 5 groups of 21 clients to cooperate with the investigation of the actual control relationship.In the aspect of inspecting cases violating trading rules，the Exchange has dealt with 12 cases suspected of violation trading rules，of which 4 cases were suspected of accommodation trade，3 cases were violate the position management rules of the exchange，2 cases were wrong orders，1 case was price fluctuation caused by market price order，1 case was client existing actual control relationship but have not reported，1 case was frequent trading through hedging positions.
　　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
Dcecmber 13, 2022