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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 November 2020 are listed as follows:
In the aspect of administration of abnormal trading behaviors, INE has dealt with a total of 13 cases, which 8 cases were selftrades4 cases were frequent order cancellationsone case for the combined size of positions within a group of accounts with actual control relationship exceeding the position limit prescribed by INE.
INE has separately notified the relevant clients by phone through the members and placed 2 clients on the Exchange’s watchlistnotified 2 abnormal trading behaviors to all the members.
In the aspect of identification and cooperative investigation of accounts with actual control relationship, INE has identified 37 groups of 100 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 and report accounts with actual control relationship.
INE hereby notifies as the above.
Shanghai International Energy Exchange
December 11, 2020

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