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Circular on Self-Regulatory Measures Taken by CFFEX in September 2023
2023-10-16

CFFEX Circular [2023] No.12

To prevent market risks, maintain 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 September 2023.

CFFEX handled 1 case of self-trade, and 8 cases of frequent placement and cancellation of orders, involving 10 clients in total. 3 members received reminders via telephone, and 7 clients were suspended the opening of new positions.

CFFEX handled 15 cases of trading limits breaches, and took measures against 64 clients involved by suspending their opening of new positions. 

CFFEX handled 6 cases of clients’ hedging positions exceeding their corresponding matching requirements, and took measures against the 6 clients involved by requiring the attendance at a cautionary interview, suspending the opening of new positions, requesting rectification within a prescribed time period, and requesting reporting, among others.