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 August 2023 are listed as follows:

In the aspect of administration of abnormal trading behaviors, the Exchange has dealt with 26 cases，among which 25 cases were self-trades，1 case was exceeding the limit of placing and cancellation of large-amount order.The Exchange has separately notified the relevant clients by phone through members，placed 3 clients on the Exchange’s watchlist，notified 3 abnormal trading behaviors to all the members. The Exchange has suspended 2 clients 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 urged 237 groups of 487 clients to cooperate with the investigation of the actual control relationship and urged 33 groups of 84 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 10 cases suspected of violation trading rules，of which 4 cases were suspected of accommodation trade，1 case was price fluctuation caused by self-trade，4 cases for violating the position management rules of the Exchange and 1 case for wrong order. The Exchange has filed and investigated 1 case suspected of violating trading rules.

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

SHFE hereby notifies as the above.

Shanghai Futures Exchange
September 8，2023