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Shanghai International Energy Exchange (hereinafter referred to as “INE”) 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 September 2021 are listed as follows:

In the aspect of administration of abnormal trading behaviors,INE has dealt with a total of 5 cases, which 4 cases were self-trades,1 case was frequent order cancellation,INE has separately notified the relevant clients by phone through the members.

In the aspect of identification and cooperative investigation of accounts with actual control relationship, INE has identified 109 groups of 283 clients that exist the actual control relationship to cooperate with the investigation of the actual control relationship and urged 2 groups of 4 clients to cooperate with the investigation of the actual control relationship.

In the aspect of inspecting cases violating trading rules,INE has dealt with 1 case suspected of violation trading rules,which was price fluctuation caused by market price order.

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

INE hereby notifies as the above.

 

Shanghai International Energy Exchange
October 14,2021
 

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