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 2023 are listed as follows:

In the aspect of administration of abnormal trading behaviors, the Exchange has dealt with 24 cases, all were self-trades. The Exchange has separately notified the relevant clients by phone through members，placed 1 client and 1 group of clients that exist the actual control relationship on the Exchange’s watchlist，notified 2 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 186 groups of 407 clients that exist the actual control relationship to cooperate with the investigation of the actual control relationship and urged 1 group of 3 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 price fluctuation caused by market price order, 2 cases for wrong orders, 1 case was price fluctuation caused by market price order. The Exchange has filed and investigated 3 cases suspected of violating trading rules.

The Exchange reminds market traders 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
December 8, 2023