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 January 2023 are listed as follows:
　　In the aspect of administration of abnormal trading behaviors, the Exchange has dealt with a total of 21 cases, among which 19 cases were self-trades，2 cases were exceeding the limit of placing and cancellation of large-amount orders.The Exchange has separately notified the relevant clients by phone through members，placed 2 clients on the Exchange’s watchlist，notified 3 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 112 groups of 323 clients that exist the actual control relationship and urged 6 groups of 14 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 4 cases suspected of violation trading rules，of which 1 case was suspected of accommodation trade，2 cases were clients existing actual control relationship but have not reported，1 case was violate the position management rules of the exchange.
　　The Exchange reminds market participants to be in compliance with its rules in the trading activities and report accounts with actual control relationship.

Shanghai Futures Exchange
Feb 7, 2023