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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 marketregulate the futures trading activities and protect the legitimate rights and interests of futures market participants. The enforcement against such violations in August 2021 are listed as follows:
In the aspect of administration of abnormal trading behaviorsINE has dealt with a total of 11 cases, which 4 cases were self-trades7 cases were frequent order cancellationsINE has separately notified the relevant clients by phone through the members and placed 1 client on INE’s watchlistnotified 3 abnormal trading behaviors to all the membersINE has suspended 1 client 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, INE has identified 87 groups of 233 clients that exist the actual control relationship to cooperate with the investigation of the actual control relationship.
In the aspect of inspecting cases violating trading rulesINE has dealt with 1 case suspected of violation trading ruleswhich was wrong 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
September 102021

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