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Circular on Self-Regulatory Measures Taken by CFFEX in September 2024
2024-10-22

CFFEX Circular [2024] No.10

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 2024.

CFFEX handled 3 cases of self-trade, 44 cases of frequent placement and cancellation of orders, and 3 cases of placement and cancellation of large orders, involving 61 clients in total. 13 members received reminders via telephone, and 38 clients were suspended the opening of new positions.

CFFEX handled 39 cases of trading limits breaches, and took measures against the 174 clients involved by suspending their opening of new positions. 

CFFEX handled 9 cases of clients’ hedging positions exceeding their corresponding matching requirements, and took measures against the 9 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.