• Financial and Regulatory Surveillance Department

      • To
      • Chief Executive Officer, Chief Financial Officer, Chief Compliance Officer, Corporate Members, New Firm Approval Contacts, Firm EFS Contacts
      • From
      • Financial and Regulatory Surveillance Department, Clearing House Division
      • #
      • 13-03
      • Notice Date
      • 18 April 2013
      • Effective Date
      • 18 April 2013
    • To better reflect the responsibilities and work that staff performs in its financial and regulatory examination role; the Audit Department has changed its name to the Financial and Regulatory Surveillance Department (the “Department”). Correspondingly, Audit Information Bulletins (“AIBs”) are now known as Financial and Regulatory Bulletins (“FRBs”).
       
      It is important to note that no changes have been made to the responsibilities of the Department. The Financial and Regulatory Surveillance Department remains part of CME’s Clearing House Division with two distinct groups – one responsible for financial surveillance of clearing members (including but not limited to clearing member firm approvals; daily, semi-monthly, monthly, and annual certified statement reviews; limited reviews of customer segregation, secured 30.7 and cleared swaps statements, and risk based examinations) and the other responsible for clearing fee examinations (including member firm fee policy reviews) and corporate member firm approvals (including member firm and incentive program participants). 
       
      Most significantly, the risk based examinations performed by the Department are compliance reviews focused on the particular and distinctive areas of regulatory concern of the futures industry including the segregation of customer funds and compliance with net capital requirements. The Department does not and has not performed audits and an opinion on the financial statements is not and has not been rendered. 
       
      As we transition our name to the Financial and Regulatory Surveillance Department in the rules, policies, procedures and documentation across CME Group Inc. please be aware that any requirements of the “Audit Department” are now that of the “Financial and Regulatory Surveillance Department” and remain in effect. 
       
      Please contact the Financial and Regulatory Surveillance Department at (312) 930-3230 if you have any questions.

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