The Market Regulation and Audit Departments play key roles in our comprehensive regulatory process.

The Market Regulation Department:

• Operates integrated compliance and market surveillance functions
• Provides detailed tracking of trading activity and reportable positions
• Employs sophisticated surveillance tools as part of a comprehensive program to detect and deter improper conduct
• Investigates identified trading anomalies and prosecutes where dictated
• Is a primary point of contact for questions relating to exchange rules
• Provides training to new members
• Administers CME Group’s arbitration program which allows customers, members and member firms to pursue claims related to their CME or CBOT trading

The Audit Department:

• Performs the financial surveillance function over CME and CBOT clearing members
• Ensures the financial integrity of CME and CBOT clearing members, who are responsible and accountable for every position they carry, whether it is for the account of a member, non-member customer or their own account