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Notice on Self-Regulatory Measures Taken by CFFEX in June 2020

CFFEX Circular [2020] No.1


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 June 2020.

CFFEX handled 9 cases of abnormal trading activities with 14 clients involved, including 2 cases of self-trade, 7 cases of frequent placement and cancellation of orders. 14 clients were suspended the opening of new positions, and 5 members received reminders via telephone.

CFFEX handled 2 cases of trading limits violations, and took measures against 1 group of Actual Control Accounts with 2 clients involved by suspending their opening of new positions.

CFFEX handled 2 cases of clients’ hedging positions or arbitrage positions exceeding their corresponding asset ratio requirements, and took measures against the 2 clients involved by requesting rectification within a prescribed time period, and requesting reporting, among others.



China Financial Futures Exchange

July 8, 2020


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