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Circular on Self-Regulatory Measures Taken by CF... 2020-12-08
CFFEX Circular  No.9
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 November 2020.
CFFEX handled 13 cases of abnormal trading activities with 17 clients involved, including 2 cases of self-trade, 10 cases of frequent placement and cancellation of orders, and 1 case of intraday excessive trading. 8 clients were suspended the opening of new positions, and 5 members received reminders via telephone.
CFFEX handled 3 cases of clients’ hedging positions or arbitrage positions exceeding their corresponding asset ratio requirements, and took measures against the 3 clients involved by requesting rectification within a prescribed time period, and requesting reporting, among others.
CFFEX handled 1 case of pre-arranging trade for illegally transferring benefits, and took self-regulatory measures against the 2 clients by reprimanding and suspending their opening of new positions in China government bond futures for 6 months. The violation by these 2 clients was recorded into China’s capital market integrity database.
China Financial Futures Exchange
December 8, 2020
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- Circular on Self-Regulatory Measures Taken by CF... 2020-11-09
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CSRC Vice Chairman LI Chao Attending the Seminar... 2018-12-19
On 13 December, 2018, Asset Management Association of China (AMAC) held the Seminar on China Capital Markets and Global Asset Allocation in Beijing. CSRC Vice Chairman Li Chao attended the Seminar. In his keynote speech, Vice Chairman Li reviewed the CSRC's efforts over the years in firmly implementing the decisions and directions of the CPC Central Committee and the State Council to promote the two-way opening of China's capital markets, including enhancing and expanding stock connect schemes, revising QFIIRQFII rules, expanding foreign access to the futures markets, advancing the two-way opening of the securities and futures service sector, and strengthening cross-border regulatory cooperation to protect investors' legitimate rights and interests. In the context that the Chinese economy is entering into a new phase anchored on high-quality development to foster new growth areas and continuously optimize economic structure, China's capital markets are further empowered to better serve the real economy with effective tools to mitigate major financial risks and substantive measures to deepen reform and opening-up. China's capital markets welcome long-term foreign capital to participate in the domestic markets with open arms.
The Seminar was widely attended by representatives from a number of QFIIs, RQFIIs, domestic custodian banks, as well as securities and fund management companies. In sharing thoughts on the global economic trends and asset allocation, the representatives spoke highly of the progresses attained in China's reform and opening-up endeavors and the achievements made in the capital markets, expressed long-term committment in the Chinese economy and capital markets, and offered specific opinions and suggestions for further improving the QFIIRQFII regime.
Attendees to the Seminar also included officials from relevant departments at the CSRC head office, Shanghai Stock Exchange, Shenzhen Stock Exchange, China Financial Futures Exchange, and China Securities Depository and Clearing Corporation Limited.
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- Optimizing Institutional Arrangement of Future E... 2017-09-29
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