Supervisory Responsibilities for Employees and Agents

Effective on trade date July 16, 2024, and pending all relevant CFTC regulatory review periods, this Market Regulation Advisory Notice will supersede CME Group Market Regulation Advisory Notice RA2114-5 from August 30, 2021. It is being issued to provide additional guidance on how parties must discharge their supervisory duties, and the factors Market Regulation will consider when assessing a potential violation of Rule 432.W. This Advisory Notice also establishes a new Frequently Asked Question section.

Click HERE to view the full advisory.