Financial Surveillance Programs

Our Audit 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. Specifically, our financial surveillance programs focus on the following:


Clearing members must calculate segregation requirements and ensure compliance with CFTC and Exchange capital requirements on a daily basis. In addition, they must:

  • Submit full financial statements monthly
  • Provide certified financial statements annually
  • Make more frequent reports (daily) as directed


Generally, each clearing member is subject to a financial and operational risk-based examination every year. These examinations are:

  • Tailored to focus on the specific risks of the clearing member
  • Conducted in accordance with the JAC examination program
  • Performed on a surprise basis


Clearing members are required to report any failure to meet segregation or minimum capital requirements. They must notify the Audit Department prior to:

  • Any significant business transaction
  • A significant change in operations

For additional information, please go to the CME Group's Financial Safeguard System (PDF) and Financial Surveillance/Joint Audit Committee

Futures & Options Trading

As the world's leading and most diverse derivatives marketplace, CME Group is where the world comes to manage risk. CME Group exchanges offer the widest range of global benchmark products across all major asset classes, including futures and options based on interest rates, equity indexes, foreign exchange, energy, agricultural commodities, metals, weather and real estate. CME Group brings buyers and sellers together through the CME Globex electronic trading platform and trading facilities in New York and Chicago. CME Group also operates CME Clearing, one of the largest central counterparty clearing services in the world, which provides clearing and settlement services for exchange-traded contracts, as well as for over-the-counter derivatives transactions through CME ClearPort.

Idea Exchange

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CME Group/Chicago HQ:
Local: +1 312 930 1000
Toll Free: +1 866 716 7274

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CME Group is the world's leading and most diverse derivatives marketplace. The company is comprised of four Designated Contract Markets (DCMs). Further information on each exchange's rules and product listings can be found by clicking on the links to CME, CBOT, NYMEX, and COMEX.