Updated on Apr 07,2020
Notice on Investigation and Penalties for Violations of Relevant Rules and Regulations in March 2020
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 March 2020 is listed as follows:
In the aspect of administration of abnormal trading behaviors, INE has dealt with a total of 10 cases, among which 1 case was self-trade and 9 cases were frequent order cancellations. INE has separately notified the relevant clients by phone through the members and placed 1 client on INE’s watch list, notified 1 abnormal trading behaviors to all the members.
In the aspect of identification and cooperative investigation of accounts with actual control relationship, INE has identified 7 groups of 15 clients that exist the actual control relationship and urged 1 group of 2 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 suspected of existing actual control relationship but it has not reported. 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
April 7, 2020
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