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    2024-01-10
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Circular on Self-Regulatory Measures Taken by CFFEX in December 2023
2024-01-10

CFFEX Circular [2024] No.1

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 December 2023.

CFFEX handled 11 cases of frequent placement and cancellation of orders, involving 9 clients in total. 7 clients were suspended the opening of new positions, and 2 members received reminders via telephone.

CFFEX handled 11 cases of trading limits breaches, and took measures against 26 clients involved by suspending their opening of new positions. 

CFFEX handled 2 cases of clients’ hedging positions exceeding their corresponding matching requirements, and took measures against the 2 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.