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Circular on Self-Regulatory Measures Taken by CFFEX in March 2023
2023-04-10

CFFEX Circular [2023] No.4

To prevent market risks, maintain the orderly operation of the market and protect investors’ legitimate rights and interests, China Financial Futures Exchange (CFFEX) took the following self-regulatory measures against violations of exchange rules in March 2023.

CFFEX handled 1 case of self-trade, 7 cases of frequent placement and cancellation of orders, and 2 cases of placement and cancellation of large orders, involving 10 clients in total. 4 members received reminders via telephone, and 6 clients were suspended the opening of new positions.

CFFEX handled 5 cases of trading limits violations, and took measures against 7 clients involved by suspending their opening of new positions. 

CFFEX handled 3 cases of clients’ hedging positions or arbitrage positions exceeding their corresponding asset ratio requirements, and took measures against the 3 clients involved by requesting rectification within a prescribed time period, and requesting reporting, among others. 



China Financial Futures Exchange

April 10, 2023