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Dalian Commodity Exchange (DCE) continues to investigate and handle abnormal trading activities and violations for the purposes of performing front-line market supervision responsibilities, regulating futures trading activities, preventing and mitigating market risks and protecting the legitimate rights and interests of market participants. In July 2023, 52 cases of abnormal trading were investigated and handled.
Among the 52 cases of abnormal trading, 25 cases were self-trade exceeding frequency limit, 23 cases were frequent cancellation of orders and four cases were cancellation of large-amount orders. The above-mentioned clients whose trading activities reached the handling threshold of DCE have been delivered telephone alert through the Members and the self-regulatory measures of restricting the opening of positions for one month have been taken against five clients.
In addition, DCE also investigated and handled ten violation clues, including two cases of transferring funds through matched orders, seven cases of self-trade or negotiated trade affecting contract prices, one case of failing to perform the reporting and filing procedures regarding the accounts involving actual control relationship in accordance with the applicable rules. DCE has conducted investigations against the relevant clients and taken corresponding measures in accordance with DCE rules.
