Notice on self-regulatory supervision information issued in the previous issue for October 2026: In terms of managing abnormal trading behavior, our firm handled 43 cases of abnormal trading behavior in accordance with the relevant regulations and procedures of the “Shanghai Futures Exchange Abnormal Trading Behavior Management Measures”. Among them, since the transaction limit was exceeded 13, orders were frequently reported to have exceeded the limit in 9 cases, and the number of open positions within the day exceeded the limit by 21. In terms of actual control relationship account certification and inquiries, our firm determined the actual control relationship for 323 groups of 674 customers in accordance with the relevant regulations and procedures of the “Shanghai Futures Exchange Actual Control Relationship Account Management Measures”, and conducted actual control relationship inquiries on 4 groups of 13 customers.

Notice on self-regulatory supervision information issued in the previous issue for October 2026: In terms of managing abnormal trading behavior, our firm handled 43 cases of abnormal trading behavior in accordance with the relevant regulations and procedures of the “Shanghai Futures Exchange Abnormal Trading Behavior Management Measures”. Among them, since the transaction limit was exceeded 13, orders were frequently reported to have exceeded the limit in 9 cases, and the number of open positions within the day exceeded the limit by 21. In terms of actual control relationship account certification and inquiries, our firm determined the actual control relationship for 323 groups of 674 customers in accordance with the relevant regulations and procedures of the “Shanghai Futures Exchange Actual Control Relationship Account Management Measures”, and conducted actual control relationship inquiries on 4 groups of 13 customers.