Page 63 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)（2024年3月）
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期貨和衍生品行業(yè)監管動(dòng)態(tài)
境內資訊
? 金融監管機構 Financial Regulatory Authority
1. 中國證監會(huì )新聞發(fā)言人就中金所采取紀律處分措施答記者問(wèn)（2024 年 2 月
28 日）
問(wèn)：近期，中金所對一家私募基金管理有限公司及其實(shí)際控制人未按規定申
報實(shí)際控制關(guān)系賬戶(hù)，采用高頻交易方式，在股指期貨上超交易限額交易采取紀
律處分措施，證監會(huì )對此作何評論。
答：近日，中金所依規對相關(guān)客戶(hù)違反期貨市場(chǎng)實(shí)際控制關(guān)系賬戶(hù)管理的行
為采取了監管措施，是履行交易所監管職責的舉措。證監會(huì )始終堅持嚴的監管主
基調，指導證券交易所和中金所加強期現貨監管聯(lián)動(dòng)，對包括高頻交易在內的各
類(lèi)交易行為穿透監管，依法依規嚴厲打擊市場(chǎng)違法違規行為。下一步，證監會(huì )將
持續深入貫徹落實(shí)中央金融工作會(huì )議精神，全面加強監管，切實(shí)保障市場(chǎng)平穩健
康運行。
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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