FangQuant › Commodities Futures

Investigation and Penalties for Violations of Relevant Rules and Regulations in November 2020

Fang submitted 2020-12-04 14:14:22

In the aspect of administration of abnormal trading behaviors, INE has dealt with a total of 13 cases, among which 8 cases were self-trades, 4 cases were frequent order cancellations and 1 case was portfolio position of accounts with actual control relationship that exceeds limit. INE has separately notified the relevant clients of the above mentioned abnormal trading behaviors by phone for 14 times through the members and placed one client and one account with actual control relationship on INE’s watch list, notified 2 abnormal trading behavior to all the members.

INE has separately notified the relevant clients by phone through 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 filed and investigated no case suspected of violating 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.

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