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Position Reporting
1. Threshold
CFFEX requires large position reporting, and sets and publishes the reporting threshold in view of the market risk conditions.
2. Contents
When the positions held by a member or client in a particular contract reach the reporting threshold specified by CFFEX, or when required by CFFEX, the member or client needs to file a large position report within the time limit specified by CFFEX and submit the electronic copy of the following documents (affixed with its signature/common seal):
1). Large Position Reporting Form, containing the member’s name and code, the client’s name and code, contract code, positions, trading margin, and available funds;
2). Statement on the sources of funds;
3). Information on Actual Control Accounts;
4). Account opening materials and current day settlement documents;
5). Delivery intention and delivery quantity;
6). Information on the underlying securities currently held; and
7). Other documents required by CFFEX.
3. Requirements
1). Positions held by a non-futures-company member or client under different client codes, as well as positions held by the same client through different members, are in each case aggregated for the purpose of large position reporting.
2). A member should review the materials provided by its clients and ensure they are authentic, truthful, and accurate. CFFEX has the right to verify the materials submitted by members and clients.
3). When the positions held by a member or client in a particular contract reach the reporting threshold, or when required by CFFEX, the member or client needs to file a report with CFFEX within the time limit specified by CFFEX. If the client fails to file such report, its carrying member should do so on its behalf. If the client maintains accounts with several members, CFFEX will designate one of the members to submit the required materials of the client. CFFEX has the right to require a member or client to submit a second or supplementary report.
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