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

In the aspect of administration of abnormal trading behaviors, INE has dealt with a total of 17 cases, among which 3 cases were self-trades, 12 cases were frequent order cancellations and 2 cases were cancellations with large amount that exceeds limit. INE has separately notified the relevant clients of the above mentioned abnormal trading behaviors by phone for 17 times through the members and placed 4 clients on INE’s watch list, notified 4 abnormal trading behavior to all the members.

In the aspect of identification and cooperative investigation of accounts with actual control relationship, INE has identified 27 groups of 53 clients that exist the actual control relationship.

In the aspect of inspecting cases violating trading rules, INE has dealt with 4 cases suspected of violation trading rules, among which 1 case was suspected of existing actual control relationship but it has not reported and 2 cases were price fluctuation caused by market price orders and 1 case was wrong order.

In December, 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.

Announcement on the disposal of abnormal and illegal transactions in December 2020

In order to fulfill the responsibilities of front-line supervision of the market, regulate futures trading behavior, prevent and defuse market risks, and protect the legitimate rights and interests of market participants, DCE continues to investigate and deal with abnormal and illegal transactions. The details on disposal of abnormal and illegal transactions in December 2020 are as follows:

DCE investigated and dealt with 91 cases of abnormal trading including 49 cases of over-limit self-trade, 42 cases of over-limits frequent Submission and Cancellation of orders. The member units will provide telephone reminders to the above-mentioned customers who have reached the abnormal trading processing standards, there are 5 individual customers and a actual control relationship account group have been adopted regulatory measures that restrict opening positions for one month.

Dealing with 5 clues of illegal transactions, including 4 cases of affecting the contract price as the suspected of self-trade or agreed transaction, and 1 other type, Investigating and implementing relevant measures to relevant customers.

Dalian Commodity Exchange

关于2020年12月异常违规交易行为查处情况的通告

为切实履行市场一线监管职责，规范期货交易行为，防范化解市场风险，保障市场参与者的合法权益，大商所持续对异常违规交易行为进行查处。2020年12月份查处情况如下：

处理异常交易行为91起，包括自成交超限49起、频繁报撤单超限42起，通过会员单位对上述达到异常交易处理标准的客户进行电话提示，并对其中5名个人客户和1个实际控制关系账户组采取限制开仓一个月的监管措施。

处理违规交易线索5起，包括涉嫌自成交或约定交易影响合约价格4起、其他类型1起，对相关客户开展调查并采取相应措施。

特此通告。

大连商品交易所

Statistics of self-regulation in December 2020

In December 2020, ZCE dealt with a total of 57 abnormal transactions, including 20 self-trade, 32 cases of over-limits frequent Submission and Cancellation of orders, and 2 case of over-limit large Submission and Cancellation of Orders, and 3 cases of actual control group are over-limit combined positions. A total of 2 cases of violations were tried, and disciplinary sanctions such as warnings were given to 2 clients, which were recorded in the China Capital Market Integrity Information Database.

2020年12月自律监管统计信息

2020年12月，郑商所共处理异常交易57起，其中自成交20起，频繁报撤单32起，大额报撤单2起，实控组合并持仓超限3起。共审理违规案件2起，对2名客户给予警告等纪律处分，并记入中国资本市场诚信信息数据库。