Regulation of Clearing Members

As part of CME Group's financial safeguards system, the Audit Department monitors the capital requirements of clearing members, based on the risk associated with each clearing member's positions as well as our assessment of each clearing member's internal controls, risk-management policies and back-office operations. The Audit Department has primary regulatory responsibility for more than 95 percent of CME, CBOT, NYMEX and COMEX clearing members through CME Group's four self-regulatory organizations.

Financial Surveillance Programs

Our Financial and Regulatory Surveillance Department ensures the financial integrity of CME, CBOT, NYMEX and COMEX clearing members through direct surveillance and information sharing with Joint Audit Committee (JAC) members.

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Joint Audit Committee

To ensure the financial integrity of its clearing members, CME Group participates with other United States futures exchanges in the JAC.

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Forms

Financial and Regulatory Surveillance Forms are available.

View Financial and Regulatory Surveillance Forms