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Circular on Self-Regulatory Measures Taken by CFFEX in October 2023
2023-11-07

CFFEX Circular [2023] No.13

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 October 2023.

CFFEX handled 2 cases of self-trade, and 2 cases of frequent placement and cancellation of orders, involving 4 clients in total. 1 member received reminders via telephone, and 3 clients were suspended the opening of new positions.

CFFEX handled 5 cases of trading limits breaches, and took measures against 10 clients involved by suspending their opening of new positions. 

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