Page 63 - 期货和衍生品行业监管动态（2024年3月）

期货和衍生品行业监管动态

境内资讯

? 金融监管机构 Financial Regulatory Authority

1. 中国证监会新闻发言人就中金所采取纪律处分措施答记者问（2024 年 2 月

28 日）

问：近期，中金所对一家私募基金管理有限公司及其实际控制人未按规定申

报实际控制关系账户，采用高频交易方式，在股指期货上超交易限额交易采取纪

律处分措施，证监会对此作何评论。

答：近日，中金所依规对相关客户违反期货市场实际控制关系账户管理的行

为采取了监管措施，是履行交易所监管职责的举措。证监会始终坚持严的监管主

基调，指导证券交易所和中金所加强期现货监管联动，对包括高频交易在内的各

类交易行为穿透监管，依法依规严厉打击市场违法违规行为。下一步，证监会将

持续深入贯彻落实中央金融工作会议精神，全面加强监管，切实保障市场平稳健

康运行。

China Securities Regulatory Commission Spokesperson Responses to the Press’

Inquiries on China Financial Futures Exchange’s Disciplinary Action (2024/2/28)

Q: Recently, China Financial Futures Exchange (CFFEX) took disciplinary
measures against a private fund management company and its de facto controller for

failing to declare the actual control relationship account in accordance with the

regulations, engaging in high-frequency trading, and trading over the trading limit on

stock index futures, what are the comments of the China Securities Regulatory

Commission (CSRC) on this?

A: CFFEX’s recent regulatory measures in accordance with the regulations

against the relevant clients for violating the management of the actual control

relationship accounts in the futures market were to fulfill the regulatory

responsibilities of the exchange. CSRC has always adhered to the principle of strict

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