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.
Specifically, our financial surveillance programs focus on:
Clearing members must calculate segregation requirements and ensure compliance with CFTC and Exchange capital requirements on a daily basis.
In addition, they must:
Clearing members are required to report any failure to meet segregation or minimum capital requirements.
They must notify the Financial and Regulatory Surveillance Department prior to:
Generally, each clearing member is subject to a financial and operational risk-based examination every year.
These examinations are:
CME Clearing Financial Safeguards
Learn more about our operational standards and financial safeguards, which provide an effective set of risk management tools and capabilities that result in industry leading risk management capabilities.
The system is: