Audit Advisory Notice
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From Audit Department, Clearing House Division
Subject Available Information and Resources
Effective Date 02/13/98
Notice Number 98-01

The Audit Department often receives requests for reference materials and formats. For your convenience, outlined below is a listing of information and resources available to assist you in complying with industry rules and requirements.

Publications:
  • Audit Information Bulletins1
  • Joint Audit Committee Regulatory Updates1
  • CFTC Financial & Segregation Interpretations 1-14
  • Selected CFTC Advisories and Interpretative Letters
  • The Financial Safeguard System of the CME
  • Clearing Division Directory
  • CME Annual Report
  • WinJammer� Quick Start Guide
Commodity Manuals:
  • CFTC 1-FR Instruction Manual
  • Joint Audit Committee Margins Handbook
  • A Guide to Cross-Margins
  • Foreign Futures and Options Manual

 Formats & Documents:

  • Parent Guarantee Formats/Corporate Resolutions
  • Letter of Credit Standard Formats
  • Subordinated Debt Standard Formats
  • CME Rule 106.D. Third Party and Unconditional Equity Member Guarantees (suggested language)

Rulebooks & Exchange Manuals:

  • CME Rulebook2 3
  • CME Clearing House Manual of Operations3
  • CME Clearing Membership Handbook

If you have any questions or would like to request materials, please contact the Audit Department at (312) 930-3230 or e-mail us at audits@cme.com