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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 October 2020 are listed as follows:
In the aspect of administration of abnormal trading behaviors, INE has dealt with a total of 8 cases, which 5 cases were self-trades3 cases were frequent order cancellations. INE has separately notified the relevant clients by phone through the members and placed one client on the Exchange’s watchlist, notified one abnormal trading behavior to all the members.
In the aspect of identification and cooperative investigation of accounts with actual control relationship, INE has identified 11 groups of 26 clients that exist the actual control relationship.
In the aspect of inspecting cases violating trading rules
INE has found no violation of trading rules.
INE reminds investors to be in compliance with its rules in the trading activities and cooperate with the reporting of actual control relationship accounts.
INE hereby notifies as the above.
Shanghai International Energy Exchange
November 10, 2020

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