期货市场监管
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今日财经要闻TOP10|2025年12月17日
Sou Hu Cai Jing· 2025-12-17 11:43
1、泰军在柬军阵地缴获了中国反坦克导弹等装备?外交部回应 外交部发言人郭嘉昆主持12月17日例行记者会。会上有记者提问称:据报道,泰国军队在与柬埔寨 的冲突中,在柬军的阵地上缴获了中国制造的反坦克导弹等装备,请问中方对此有何回应?郭嘉昆对此 表示,具体情况请你向中方的主管部门进行了解。我们要强调的是中国与泰国、柬埔寨以往都开展了正 常的防务合作,不针对任何第三方,更与柬泰边境的冲突无关。(环球网) 2、中央财办:扩大内需是明年排在首位的重点任务 来源:喜娜AI 4、报道:特朗普拟面试美联储理事沃勒 考虑提名其担任美联储主席 据知情人士透露,特朗普总统将于本周三面试另一位美联储主席人选 —— 美联储理事克里斯托 弗・沃勒。有关官员提醒称,遴选进程推进迅速,而总统特朗普仍在权衡考量,相关会面存在延期或取 消的可能。特朗普上周已面试前美联储理事凯文・沃什,并表示沃什与国家经济委员会主任凯文・哈塞 特均为该职位的头号人选。沃勒于 2020 年特朗普任期尾声获总统提名进入美联储理事会,并经参议院 投票通过任命。今年以来,他成为美联储内部力主降息的核心人物。美联储在最近三次议息会议中均宣 布降息 25 个基点。今年 7 ...
广期所:持续加强监管 切实维护市场秩序
Qi Huo Ri Bao· 2025-12-17 08:23
多位接受期货日报记者采访的业内人士一致认为,市场各方应严格遵守期货市场监管法规,按照相关要 求做好实际控制关系账户报备等,共同维护期货市场良好秩序。 据悉,下一步,广期所将持续加大监管力度,强化市场监测监控,依法从严打击违规行为,切实维护期 货市场秩序。 比如,12月12日,广期所发布自律监管公告,2组7名客户在相关合约持仓数量超过持仓限额,根据《广 州期货交易所风险管理办法》第二十二条、二十八条等有关规定,交易所对上述客户采取限制开仓6个 月的监管措施。据广期所相关负责人介绍,近期影响多晶硅期、现货市场的不确定性因素较多,广期所 始终坚持严监严管主基调,持续强化一线监管力度,维护市场良好生态。 这一系列监管举措彰显了广期所持续加强监管的力度,以及坚决惩处违规行为的决心。 期货日报网讯(记者刘威魁)在强监管、防风险、促高质量发展中,广州期货交易所(下称"广期所"),坚 持强化穿透式监管,对异常交易等行为抓早抓小,切实保障市场平稳运行。 据了解,12月以来,广期所处理异常交易行为15起,认定实际控制关系账户3组、涉及10名客户,对2组 7名客户采取限制开仓6个月的监管措施,对1名客户采取取消多晶硅套期保值交易额 ...
发布不实信息借机做空,两名“90后”收罚单
Mei Ri Jing Ji Xin Wen· 2025-10-30 22:27
Core Viewpoint - The Guangdong Securities Regulatory Bureau has issued an administrative penalty against two individuals for fabricating and disseminating false information related to the futures market, resulting in a total fine of 261,800 yuan [1][8]. Group 1: Violations - Violation 1: The individuals published false information regarding a company's lithium carbonate release schedule, which was later retracted. The company had no specific release plan at the time of the announcement [4][7]. - Violation 2: The individuals engaged in futures trading that conflicted with their professional responsibilities, profiting over 20,000 yuan by short-selling lithium carbonate futures on the same day the false information was released [5][7]. Group 2: Penalties - The total penalty imposed on the two individuals amounts to 261,800 yuan, with 200,000 yuan for the dissemination of false information and 20,000 yuan for the conflict of interest in trading [8]. - Individual penalties include 120,000 yuan for one person and 80,000 yuan for the other for the false information, along with the confiscation of their illegal gains [8][9].
上期所三季度处理异常交易行为97起
Qi Huo Ri Bao Wang· 2025-10-30 18:28
Core Insights - The Shanghai Futures Exchange (SHFE) has reported on its regulatory activities for Q3 2025, focusing on market monitoring and compliance to ensure stable market operations and protect the rights of all parties involved [1] Regulatory Oversight - In Q3 2025, SHFE monitored market operations of hot commodities, enhancing price monitoring, position control, and behavioral regulation to prevent illegal trading practices that could disrupt price formation [1] - The exchange processed a total of 97 cases of abnormal trading behavior, including 52 instances of self-trading, 17 cases of frequent order cancellations, 5 instances of large order cancellations, and 23 cases of excessive intraday opening positions [1] Control Relationship Investigation - SHFE has intensified its scrutiny of clients who have not proactively reported their actual control relationships, analyzing trading behaviors and regulatory data [1] - In Q3 2025, the exchange identified 1,106 groups comprising 3,144 clients for actual control relationship verification and conducted investigations on 107 groups with 242 clients [1] Compliance Reminder - SHFE has advised traders to be vigilant about compliance risks and to properly report their actual control relationship accounts during daily trading activities [1]
罕见!发布不实信息借机做空,两名“90后”收罚单
Mei Ri Jing Ji Xin Wen· 2025-10-30 16:39
Core Points - The Guangdong Securities Regulatory Bureau has issued an administrative penalty decision against two individuals for fabricating and disseminating false information related to the futures market, resulting in a total fine of 261,800 yuan [1][8] Group 1: Violations - Violation 1: Dissemination of false information regarding lithium carbonate, which was later retracted after being widely reported by multiple media outlets [4][5] - Violation 2: Engaging in futures trading that created a conflict of interest, with profits exceeding 20,000 yuan from short-selling activities on the same day the false information was published [5][7] Group 2: Penalties - The total penalty of 261,800 yuan includes 200,000 yuan for the dissemination of false information, with one individual fined 120,000 yuan and the other 80,000 yuan [8] - Additionally, both individuals had their illegal gains confiscated, with each fined 20,000 yuan for the conflict of interest in trading [8][9] Group 3: Regulatory Framework - The actions of the individuals violated the Futures and Derivatives Law, which mandates that information disseminated about the futures market must be truthful and objective, prohibiting misleading information and conflicts of interest [3][7]
工作人员放假消息借机做空,两名“90后”吃罚单
财联社· 2025-10-30 12:52
Core Viewpoint - The article discusses the administrative penalties imposed on two individuals involved in futures market information reporting for fabricating and disseminating false information, as well as engaging in conflicting futures trading activities, resulting in a total fine of 261,800 yuan [1][10]. Summary by Sections Incident Overview - The Guangdong Securities Regulatory Commission disclosed an administrative penalty against two individuals, Fang Mouzhe and Zheng Mouqiang, for two main violations: fabricating and spreading false information and engaging in futures trading that created a conflict of interest [1][4][11]. Details of Violations - The individuals published news regarding a company's lithium carbonate release situation on their company's website and mobile app, which was later retracted due to the lack of a specific release plan from the company [4][10]. - On the day of the false information release, both individuals engaged in short selling of lithium carbonate futures, making profits of 9,600 yuan and 12,150 yuan respectively, which aligned with the market's downward trend [6][7]. Legal Framework - The actions of the individuals violated the Futures and Derivatives Law, specifically Article 16, which mandates that information disseminated about the futures market must be truthful and objective, prohibiting misleading information and conflicts of interest in trading [3][9]. Penalties Imposed - The total fines imposed on the two individuals amounted to 261,800 yuan, with each being fined 20,000 yuan for their conflicting trading activities, and their illegal gains were confiscated [10][12]. Company Involvement - The involved company is likely Shanghai Steel Union, as indicated by previous media reports linking it to the fabricated information regarding lithium carbonate releases [14][15]. - Shanghai Steel Union's financial performance showed a revenue of 34.391 billion yuan in the first half of the year, a decrease of 21.65% year-on-year, while net profit attributable to shareholders increased by 41.07% due to government subsidies [15].
大连商品交易所9月处理异常交易行为12起
Xin Hua Wang· 2025-10-10 08:25
Core Viewpoint - Dalian Commodity Exchange is actively enforcing market supervision to regulate futures trading behavior, mitigate market risks, and protect the legitimate rights of market participants [1] Group 1: Regulatory Actions - In September, Dalian Commodity Exchange handled 12 cases of abnormal trading behavior [1] - The abnormal trading behaviors included 9 cases of self-dealing beyond limits and 3 cases of frequent order cancellations beyond limits [1] - The exchange has notified the relevant clients through member units regarding the abnormal trading standards [1] Group 2: Investigation of Violations - Dalian Commodity Exchange investigated 7 leads of suspected violations in September [1] - The violations included 4 cases of suspected agreed trading for fund transfer and 3 cases of self-dealing or agreed trading affecting contract prices [1] - Investigations and corresponding measures have been initiated against the relevant clients [1]
大连商品交易所8月处理异常交易行为8起
Sou Hu Cai Jing· 2025-09-05 10:14
Core Points - The Dalian Commodity Exchange is actively enforcing market supervision responsibilities to regulate futures trading behavior and mitigate market risks [1] - In August, the exchange processed 8 cases of abnormal trading behavior, all related to self-dealing beyond limits [1] - The exchange has communicated with member units to notify clients involved in these abnormal trading activities [1] - Additionally, the exchange investigated 11 leads of illegal trading in August, including 3 cases of suspected agreed trading for fund transfer, 7 cases of self-dealing or agreed trading affecting contract prices, and 1 case of other violations [1] - Investigations and corresponding measures have been initiated against the relevant clients [1]
中金所7月处理违反交易限额行为17起
Qi Huo Ri Bao Wang· 2025-08-17 16:06
Core Viewpoint - The China Financial Futures Exchange (CFFEX) has implemented self-regulatory measures to prevent market risks and maintain market order, addressing violations of trading rules [1] Summary by Categories Regulatory Actions - CFFEX announced self-regulatory measures on August 15 to safeguard traders' legal rights and maintain market order [1] - In July 2025, CFFEX addressed 5 cases of exceeding self-trading limits, 5 cases of frequent order cancellations, and 2 cases of large order cancellations, involving 18 clients [1] - For 4 clients, CFFEX imposed restrictions on opening new positions, while 14 clients' members received phone notifications [1] Violations and Penalties - CFFEX processed 17 cases of violating trading limits, imposing restrictions on opening new positions for 99 clients [1] - Additionally, 4 cases were identified where clients maintained positions exceeding their asset allocation requirements, leading to measures such as requiring adjustments and reporting [1]
大连商品交易所7月处理异常交易行为68起
Xin Hua Wang· 2025-08-12 05:55
Core Viewpoint - Dalian Commodity Exchange is actively enforcing market supervision and regulating futures trading behavior to mitigate market risks and protect the rights of market participants [1] Group 1: Regulatory Actions - In July, Dalian Commodity Exchange handled 68 cases of abnormal trading behavior [1] - The abnormal trading cases included 27 instances of self-dealing beyond limits, 35 instances of frequent order cancellations beyond limits, and 6 instances of large order cancellations beyond limits [1] - The exchange has communicated with member units to notify clients involved in these abnormal trading cases and has imposed a one-month trading restriction on 3 clients as a self-regulatory measure [1] Group 2: Investigation of Violations - In July, the exchange investigated 8 leads related to violations of trading rules [1] - The investigations included 4 cases suspected of agreed trading for fund transfer and 4 cases suspected of self-dealing or agreed trading affecting contract prices [1] - Relevant clients have been investigated, and appropriate measures have been taken against them [1]