Financial and Regulatory Surveillance

Financial and Regulatory Surveillance

The Financial and Regulatory Surveillance Department monitors the capital requirements of clearing members based on the risk associated with each clearing member's positions as well as our assessment of each clearing member's internal controls, risk-management policies, and back-office operations.

The Financial and Regulatory Surveillance Department has primary regulatory responsibility for more than 95 percent of CME, CBOT, NYMEX, and COMEX clearing members through CME Group's four self-regulatory organizations.

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