• Supervisory Responsibilities for Employees

      • To
      • Members, Member Firms and Market Users
      • From
      • Market Regulation Department
      • #
      • CME Group RA1517-5
      • Notice Date
      • 02 November 2015
      • Effective Date
      • 02 November 2015
    • Pursuant to Rule 432.W. (“General Offenses”), it is an offense for any party to fail to diligently supervise its employees and agents in the conduct of their business relating to the CME Group Exchanges.  For avoidance of doubt, agents include any automated trading systems (“ATSs”) operated by any party.  

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