Senior CME Executive Discusses DSRO Audits with CMC Members

On yesterday’s policy call, Anne Bagan, a CME Group Managing Director, discussed the Designated Self-Regulatory Organization (DSRO) audit process of Futures Commission Merchants (FCMs). Among the topics discussed were audit frequency, surprise spot checks, ongoing financial surveillance activities, etc. The differences in the roles of a DSRO as compared with that of an SRO in regards to surveillance and auditing was also covered.


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