Updated on Feb 21,2019
Notice on Investigation and Penalties for Violations of Relevant Rules and Regulations in January 2019
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 January 2019 is listed as follows:
In the aspect of administration of abnormal trading behaviors,INE has dealt with a total of 31 cases of abnormal trading behaviors, among which 9 cases were self-trades that exceed the limits and 22 cases were frequent order cancellations.The Exchange has separately notified 31 relevant members of the above mentioned abnormal trading behaviors by phone, and placed 3 clients on the Exchange’s watch list, notified 3 abnormal trading behaviors to all the members.
In the aspect of identification and coordination of accounts with actual control relationship, INE has identified 27 groups of 60 clients that have reported the actual control relationship.
In the aspect of examining cases suspected of violating trading rules,the Exchange has found no violation in January.
INE hereby notifies as the above.
Shanghai International Energy Exchange
Feburary 21, 2019
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