Chicago Board of Trade

This review provides detailed eligible market due diligence for Chicago Board of Trade.

Chicago Board of Trade is located in USA and is regulated by the Securities and Exchange Commission (SEC), the National Futures Association (NFA), Commodity Futures Trading Commission (CFTC) and FINRA.

This review will allow users to establish if a market is UCITS eligible and whether Chicago Board of Trade is regulated, operates regularly, and is open to the public.

Exchange Reviews

Included within the due diligence review is information on:

General Country Information

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    Is the US Dollar freely convertible?
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    Is the USA an OECD or FATF member country?
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    What is the corruption score for the USA Emirates?
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    Ease of repatriation of capital.

Market Regulations

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    Is Securities and Exchange Commission (SEC), the National Futures Association (NFA), Commodity Futures Trading Commission (CFTC) and FINRA. a statutory body?
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    What complaints mechanisms are in place?
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    Market Surveillance.

Listing Rules

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    What are the capital requirements for companies listed on Chicago Board of Trade?
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    Do companies listed on CBOT have to publish a prospectus and audited annual financial statements?
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    Does Chicago Board of Trade have the power to delist securities?

Broker and Member Rules

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    How are brokers supervised on Chicago Board of Trade?
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    Does CBOT have a guarantee fund?
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    What sanctions can be imposed on brokers?
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    What are the capital requirements for brokers on CBOT?

Market Transparency & Trading

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    What are the trading hours for Chicago Board of Trade?
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    What instruments are listed on CBOT?
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    Is there daily market information available?

Clearing and Settlement

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    What is the settlement cycle on Chicago Board of Trade? (e.g T+2, T+3, T+4)
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    What is the settlement method on CBOT? (DVP, FOP)
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    Is there a Central Counterparty?
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    Are securities dematerialized?
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    RTGS v Netting?
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    How are securities registered?

Liquidity

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    No. of Listed Securities
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    Market Capitalisation
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    Market Concentration
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    Market Trading
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    Share Turnover Velocity
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    Trades Per Day

Key Risks

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    What are the key risks of the market?
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