Clearing Firm Contact System (FCS)
Contents
1. CME Test Firm dit Delete Main Office Note As a CME Clearing Firm you must enter a disaster recovery site location Main Location Disaster Recovery Site No Yes Yes No 3 Enter the following information e Description e Check as needed o Main Location o Disaster Recovery Site o Foreign Address Reference Appendix A e Address Line 1 e Address Line 2 e City e State e Zip Code e Country enabled for Foreign Address only e Phone Number e Comments Optional 4 Click Save after entering the firm information Asterisk indicates required DE Home Data Reports Contact Us Public Site Log Off New Firm Location for CME Fim Test Description Main Location Disaster Recovery Site Foreign Address Address Line 1 i Address Line 2 City i State Illinois Zip Code i Country Phone Number x Comments CME Firm Contact System Global Operations Education August 2010 Page 10 CME Group Firm Contact System FCS CME Group Firm Locations Note As a GME Clearing Firm you must enter a disaster recovery site location The user will be redirected CME Test Fim to the Firm Locations listing with the new location added to the list Description Main Location Disaster Recovery Site Edit Delete Disaster Recovery No Yes Edit Delete Main Office Yes No gt Edit Delete Training No No Note Location Main Office can only be de2. 4 To Exit close the browser or navigate to a different web site CME Firm Contact System Page 6 Global Operations Education August 2010 CME Group Firm Contact System FCS CME Group Searching for Firm Contacts by Exchange The Firms section allows the user to search for contact information by exchange The user can sort the search by Firm Name or Firm Number 1 Select Firms from the main menu Contacts Firms Maintain Contacts Contact Us 2 Select an Exchange to view from the drop down list e Chicago Mercantile Exchange Inc e Chicago Board of Trade e New York Mercantile Exchange e Commodities Exchange Inc 3 Select the Sort By type e Name A Z e Number 000 999 4 Click the View or View As PDF buiton Find Mesct Chicago Mercantile Exchange Inc Firms Clearing Members 9205 ADM Investor Services Inc 737 Advantage Futures LLC 333 AIG Clearing Corporation 312 Banc of America Securities LLC 709 Barclays Capital Inc 190 BMO Capital Markets Corp 111 BNF Paribas Securities Corp 445 Cantor Fitzgerald amp Ca 095 CIBC World Markets Corp 273 Citadel Securities LLC 370 Citigroup Global Markets Inc 250 Credit Suisse Securities USA LLO 357 GCrosslandLLC as a View as PDF the file will open in a pop up window ry abe http ffsmanelauiisffortresswebpublic D gt i 1 Chicago Mercantile Exchange Inc Firms Clearing Members S05 ADM investor Se
3. If marked as Private the data will not be viewable by other firms lt 3 CME Group New Firm Employee for CME Test Firm Courtesy Tithe Mr First Name a Middle Initial Last Name i e g Wilkam Bill e g CPA etc Informal Name Name Suffix Title Physical Location Main Office i Mad Location Main Office w Floor Suite etc Phone Numbers and Email Address Office Domestic Mobile El Domestic O Private Viewable by CME only FAX FE Domestic D Private Viewable by CME only Home F Domestice Private Viewable by CME only Email Comments 4 Click Save after entering the employee information A confirmation message will appear Employee changes were saved Edit and Delete an Employee Information To edit an employee s information click the Edit hyperlink Edit Delete Walker Karon Analyst The Update Firm Employee screen will display enter the updated information for the selected employee and then click Save A confirmation message will appear Employee changes were saved To delete an employee click the Delete hyperlink A dialog box will display confirming the deletion e Click the OK button Windows Internet Explorer x he Delete Karon Walker gt Cancel CME Firm Contact System Global Operations Education August 2010 Page 12 CME Group Firm Contact System FCS CME Group Association of Employees Step 3 Review your
4. firm name and contact type The user can filter the search by exchange 1 To access firm contact information click Contacts S CME Group Firm Contacts Contacts Firms Maintain Contacts Contact Us Firm Type Clearing Firm Sort by Firm Number Firm Name Firm Name All Firms Contact Type All Contact Types View as PDF 2 Select the following information Firm Type e Trading Firm displays a list of trading firm names e Clearing Firm displays a list of clearing firm names Firm type can be sorted by Firm Number 000 999 or Firm Name A Z Firm Name e All Firms or click the drop down and select a firm When selecting a firm from the drop down list the Related Clearing Firm name and number will display if the Firm Type is Trading Firm 006 Dowd Wescott Group Related Clearing Firm 287 MF Global Inc Contact Type e Trading Firm o All Contact Types e Clearing Firm o Back Office Manager o Brokerage Payment System BPS Contact o Clearing Trade Processing Contact o Deliveries Operations Contact o Give Up Payment System GPS Contact Exchange Covered e Chicago Board of Trade e Chicago Mercantile Exchange Inc e New York Mercantile Exchange e Commodities Exchange Inc CME Firm Contact System Page 5 Global Operations Education August 2010 CME Group Firm Contact System FCS S CME Group 3 Select the View or View as PDF button The View button will display the
5. specifications Copyright 2012 CME Group All rights reserved CME Firm Contact System Page 20 Global Operations Education August 2010
6. Association of Employees and CME Contact Types This step allows you to indicate which employees are associated with specific contact types 1 Click Step 3 hyperlink to display a list of your firm s employees or click Contacts located under Data Contacts can be viewed by Contact Type or Employee Name If a contact is marked as Private only the CME will be able to view contact information for that employee Contacts Entity CME Firm Test v View contacts by Contact Type 1FR FOCUS Statement Contact v Employee Employees who are 1FR FOCUS Statement Contact ADD Last First Title CME CBOT NYMEX Comments O Doe John Out Trades VP Administration amp O Smith EN Regulatory Affairs O Brown William President Assistant Operations Jones Sally Marans O Doe Ann Bank Settlement 2 Select the contact type you want to display A check next to the employees who fall in the selected Contact Type will display i e Contact Type Back Office Manager Contacts Entity CME Firm Test View contacts by amp Contact Type Back Office Manager Employee Employees who are Back Office Manager ADD Last First Title CME CBOT NYMEX Comments Doe John Out Trades VP Administration amp Smi Jack g L Smith Regulatory Affairs Brown Wiliam President me Assistant Operations Jones Sall i nn Doe Ann Bank Settlement All employees who are classified as a Bac
7. CME Clearing Firm Contact System FCS User Manual March 2012 Global Operations Education CME Group Firm Contact System FCS lt CME Group Introduction to CME Group Firm Contact System CME Group Firm Contact System FCS is a contact management tool that enables Clearing Member Firms to maintain and review their firm s contact information The FCS is a simple easy to use application for clearing firms to view other clearing firm contact information With FCS the firm s administrator can easily enter and manage your firms contact information This information is used by CME staff and Clearing Firms when they need to contact someone at your firm FCS offers several features e Accessible via CME Group Portal The tool allows users to access the application using the same entry point as other CME Group applications via the CME Group Portal e Quick access to all Clearing Member Firms Contact Information Retrieving a firm s contact number has never been easier displays on line all clearing firms up to date contact information in one location e Self Management of Clearing Firm Contact Information FCS allows clearing firms to spend less time looking for Contact Information which can sometimes be time consuming User information is entered one time in one place and can be updated by a firm administrator at their convenience e Scalable contact information Contact information from CEO to staff members Only cert
8. ain contacts will be listed for public viewing e Reports The user guide has two sections e Public instructs users on how to view and print contact information for all firms e Administration instructs the administrator on how to search view edit and confirm information only for the firms you are authorized to access CME Firm Contact System Page 2 Global Operations Education August 2010 CME Group Firm Contact System FCS CME Group Contents Accessing CME Group Firm Contact SYStOM cccccceecseeeeeeeeeeeeeeeseeeeeseeeenas 4 Firm Contact Main Menu cccccccccseececeeeeeceeeeeseeceeseeesseeeesaeeeesseueesseeesaeeesaaes 4 Searching for Contacts by Firm Type rrannrnrannrnnnnnrnnnnnrnnnnnnnnnnnennnnrnnnnnsnnnnsennnnnee 5 Searching for Firm Contacts by Exchange cccccsccccseceeceeceessseeseeeeesaeeesseaees 7 Maintain Contacts Accessing Administrators ViGW c ccccseseeseseeseeeeseeeeeees 8 Administrative Main Menu rernnrrnnnronnnrnnnrnrnnennnrnnnrnnanennnrnnnnnnannnnnennnennnnnnnnennsennnee 9 Administrative Review Add Office Information ccccseececseeeeeeeeeeeeaeees 10 Edit and Delete Office INformatiOn cccccccsececeeeeceeeceeeeceuseceueesaueeseueensaees 11 Administrative Review Add Employee rrrnrnvnnnvnvnnnvrennnvrrnnnvrennnerernnerennnnn 11 Edit and Delete Employee Information ccccccccsececeeeteeeeeeeeseeeeaeeenee
9. antile Exchange Employes NE Assigned Contact Types for CME Test Firm a D a Claanng I Trade Processing Conisd CHE Gup Man Contact Audis m CHE Geoup M n Contec Audis Legal Canis Eis Monae sad F rouse Office 4 To exit the View mode click the internet back button G Contact Us The Contact Us link will display contact information for content or website concerns Public Site CME Clearing Services ccs cmegroup com 1 312 207 2525 Click the Public Site button to exit the administrative module Log Out Click the Log Off button to exit FCS CME Firm Contact System Global Operations Education August 2010 Page 17 CME Group Firm Contact System FCS CME Group Request Access for Additional Users lt CMEGroup Firm Contacts Home Data Reports Contact Us Public Site Log Off In order to access our site you need to have an ID and password to access the CME Portal and you need to be given access to the Gontacts Web site Obtain an ID for the CME Portal if a do not SERORA have an ID for the le you need to fill out form to request access Go to files onlin ss pdf and print a copy of the request form Fill it out and fax it back to the number printed on the 7 Access to the Contacts Web Site After you receive your portal login ID and password from the CME please contact the CME Audit Department at 312 930 3230 so that they can provide you access to the Firm Con
10. cting their lifestyles And only a portion of those funds should be devoted to any one trade because they cannot expect to profit on every trade The Globe Logo CME Chicago Mercantile Exchange and Globex are trademarks of Chicago Mercantile Exchange Inc CBOT and the Chicago Board of Trade are trademarks of the Board of Trade of the City of Chicago NYMEX New York Mercantile Exchange and ClearPort are trademarks of New York Mercantile Exchange Inc COMEX is a trademark of Commodity Exchange Inc CME Group is a trademark of CME Group Inc All other trademarks are the property of their respective owners The information within this presentation has been compiled by CME Group for educational purposes only CME Group assumes no responsibility for any errors or omissions nor the content accuracy legality dependency or any other content aspect of this presentation Although every attempt has been made to ensure the accuracy of the information within this presentation CME Group assumes no responsibility for any errors or omissions Additionally all examples in this presentation are hypothetical situations used for explanation purposes only and should not be considered investment advice or the results of actual market experience All matters pertaining to rules and specifications herein are made subject to and are superseded by official CME CBOT NYMEX and CME Group rules Current rules should be consulted in all cases concerning contract
11. eseeesaes 12 FANENE va 13 A EEE EE 15 Review and Sign Off Warning Errors rrrarnnnnrnnnnnnnranrnnvnnnnvnnrnnnnnnnnnrnnnnnnnnnnnnnnne 15 FCO SN EEE PENARE EREEREER ERARE ESPERS E ENERE E EEEREN senngnaneranamahanasmanresigences 16 OCT U er EE see gate geent ease tect seaneece de 17 PODI gt EEE MO eer 17 EOG EEE EE EEE 17 Request Access for Additional Users ccccecccceeeeceeeeceeeeceeeeseeeeseeeesaeeesaaees 18 Appendix A Display of Locations with Foreign Address ccccseeeeneeeeeees 19 Appendix B Display of Employees with Foreign Phone Numbers 19 CME Firm Contact System Page 3 Global Operations Education August 2010 CME Group Firm Contact System FCS CME Group Accessing CME Firm Contacts To access the CME Firm Contact System complete the following steps 1 First log on to CME Group Connect by entering the following address in your Internet browser http connect cme com If you do not have access reference page 18 amp CME Group CME Group Connect A CME Chicago Board ot Trade NYMEX Company 2 Enter your User Name and Passwo rd and then cl ick Login to CME Group Connect Message Center Log i n P rod u ct i S S et to username Welcome to CME Group Connect Please enter your login ID and password on the left and ensure the correct product is selected If you have problems accessing CME Group Connect please contact CME CM E P O r t a a password Group Custo
12. following report id 4 i aa Pj sg Find Next bpe o ap CME Group Firm Contacts All Firms All Contact Types Covering New York Mercantile Exchange Fars Contact Hamme Difi Email Fax g Equranda S ren nc Bark Qie Hanap 312 EEFT Graig ke Payman S BPS Lorens miz iz 1 Cisr Trade Processing Comact 312 312 Cebrernes Dakia Contest Aiz ii Grei Payment Syatert GPS Cevtact 3124 ELI kpda Tradeg LLE Bark Dige Ugrgger oz Brekerage Payment Sysien BPS Connect 913 Cisk Trade Processing Contact 312 Ceres Cee ety DpH 120 G Payment Syren GPS Contact 312 ANH AHAD nope Bark Dize Uroer 12 z BEFIT Erai igi Pirmin Prisen BPS Canit aid Diz ae Cheers Tree Processing Cormact 12 diz Cb rer Dake Deets ish Gire Lip Payment Syaters GPS Contact 312 312 ALG Tiin o Maci D Toe Harag ate s jg n Raph Orifice Manager p a s i When the View as PDF button is selected the above report will display in a PDF format allowing the user to save the document for future reference or for emailing Page Find type ina Save document as number word to find within Excel PDF or Word the document Id 412 of19 D bl 4 100 v Find Next r 8 Start of Next page Magnification Next Find next document End of Increase decrease occurrence Previous document page display Page Note To go directly to a page enter page number and press Enter
13. ist FortressWeb lContactssumPopUp aspr entitylD 8759 amp Employeel E e SCMEGroup Fir EF Fy hitpj smagdauisFortress ebllontarkss A Fis Edt View F soribes Toots Help a hipa smaqclauis FortressWeb ContactsSu Data Reports amp ontact Us FOME e LPs Review Sign Off Contacts CME Firm Test kl Entity CME Firm Test View contacts by O Contact Type amp Employee Walker Karon Warnings a Contaci types associated with Walker Karon aron Walker has no associated Contact e The Traming locaton is not associated y Contact Type CME CBOT NYMEX Comments 1FR 7 FOCUS Statement Contact Chick below to mdicate that you have reve Desiqnated GENET am To correct an associated contact error 1 Click on the checkbox s to the left of the Contact Type that the employee is associated with 2 Scroll to the bottom of the list and click Save 3 Close the pop up window Multiple warnings 1 Click on each warning link for details on how to clear the warning message s 2 After you have corrected the warning messages click the Refresh Errors and Warning button e Click the Sign Off button after refreshing the errors and warnings Reports The Firm Contact System has pre defined reports to choose The report types are e Contacts This report displays the association between employees of the selected firm and CME contact types e Employees This report displays detailed info
14. k Office Manager will be displayed with a checkmark Note To associate employees with a Contact Type click on the checkbox under ADD and then click Save located at the bottom of screen CME Firm Contact System Page 13 Global Operations Education August 2010 CME Group Firm Contact System FCS G CME Group To view contacts by Employee Name select an employee from the drop down list The associated contact types for that employee will display Contacts View contacts by Contact Type Employee Jones Sally Contact types associated with Jones Sally ADD Contact Type 1FR FOCUS Statement Contact 1 Designated Spokesperson GME Group Main Contact Audits MR Audit Joint Audit Committee Mailings Contact Back Office Manager Brokerage Payment System BPS Contact Chief Executive Officer Chief Financial Officer ae o Ghief Operating Officer Glearing Trade Processing Contact LO Collateral Management Contact Ee Eee Fe EF amp Ee Eee Fe EF A CME CBOT NYMEX Comments Eee FF Fe KA EI Jones Sally is associated with a number of contact types as displayed above CME Firm Contact System Global Operations Education August 2010 Page 14 CME Group Firm Contact System FCS CME Group Sign Off Step 4 Sign off on the data The administrator is required to review and sign off on the accuracy of the firm s information as required by CME G
15. mer Support Group 312 930 3444 between the hours of 6 30am CST and 5 30pm CST For i after hours support please contact CME Group ET Operations at 312 930 8200 product CME Portal vi If you have problems accessing the CME Group EOS or CME Group Globex products please contact the CME Group Globex Control Center at 312 456 2391 Details on availability during holidays may be found at CME Group Holiday Calendar U DO n S u ccessf u log i n 5 yo u To access CME Group Connect testing for Certification and End to End Applications please navigate to i http connectcert cme com will be redirected to the CME Applications menu 3 Select the icon or the CME Ccmeconnect Firm Contacts link CHE APPLICA THOS CME Firm Contacts Firm Contacts Main Menu The FCS main menu window displays the following options e Contacts e Firms e Maintain Contacts e Contact Us he amp CME Group Firm Contacts Contacts Firms Maintain Contacts Contact Us Firm Type Trading Firm Sort by OG Firm Number Firm Name Firm Name All Firms v Contact Type All Contact Types View as PDF Exchange Covered Chicago Mercantile Exchange Inc CME Firm Contact System Page 4 Global Operations Education August 2010 CME Group Firm Contact System FCS CME Group Searching for Contacts by Firm Type The Contacts section allows the user to search for contact information by firm type
16. rm You are required to review and sign off on the complelenesss and accuracy of fis data twice per year Suggested Steps Step Step Note Request Access for Additional Users reference page 18 CME Firm Contact System Page 8 Global Operations Education August 2010 CME Group Firm Contact System FCS Administrative Main Menu CME Group The administrative functions of the FCS are to review and sign off on the completeness and accuracy of the firm s contact information CME Group has recommended four steps to accomplish this task The Firm Contact administrative main menu displays the following options Review Firm Office Locations Review Firm List of Employees Review Firm Association of Employees and CME Contact Types Sign Off on the Firm s Information Home Data Top Down Navigation o Locations o Employees o Contacts o Review Sign Off Reports Top Down Navigation o Locations o Employees o Contacts o Sign Off History Contact Us Public Site Log Out CME Firm Contact System Global Operations Education August 2010 Page 9 CME Group Firm Contact System FCS lt 3 CME Group Administrative Review Add Office Information Step 1 Review your office locations 1 Click Step 1 hyperlink to display your firm s locations or click Location located under Data step 1 Review your office locations 2 To add a new location click the Add New button Firm Locations
17. rmation about all of the employees for the selected firm e Locations This report displays detailed information about all of your firm locations e Sign Off History This report displays a summary of your sign off activity It includes the approver s name and date signed off 1 To select a report hover the mouse over Reports and click on a report type Home Data Reports x Contact Us Public Site Log Off Locations Employees Contacts Signoff History CME Firm Contact System Page 16 Global Operations Education August 2010 CME Group Firm Contact System FCS lt 3 CME Group 2 Selecta firm Only the firms you are authorized to view will display 3 Select the report format and then click View or View as PDF Contacts Report This report displays the association between employees of the selected firm and GME contact types CME Test Fim amp Report Format Show employees and their associated CME contact types Show CME contact types and the employees associated with them View As PDF The View modes options View Woah sik m f100 d I Hiit i Chicago Mercantile Exchange Employees With Assigned Contact Types for GME Test Firm Cheang I Trade Processing Gontact OME Group Mam Contact Audis CME Group Mam Contact Audis Legal Contact Chel Execulree Oige 7 seen a View as PDF i th i noae Sr a Har Chicago Merc
18. roup 1 Click Step 4 hyperlink or click Sign Off located under Data Step 4 Sign off on the data 2 Click the Sign Off button A confirmation message will display Signoff Has Been Savea Home Data Reports Contact Us Public Site Log Off Review Sign Off CME Firm Test Refresh Errors and Warnings Click below to indicate that you have reviewed the contact information and attest to its accuracy and completeness Last Signoff 6 16 2010 by Karon Walker Note The last administrator who signed off on the firm contact information will be displayed along with the signoff date Review and Sign Off Errors and Warnings There are two types of messages that may display Errors or Warnings An error will not allow you to sign off it must be corrected A warning will allow you to sign off however if you can correct the warning then do so In the screen shot on the next page there are two messages listed in the Warnings section e Error Message Karon Walker has no associated contact type e Warning Message The Training location is not associated with a contact type o Ifa message is indicated click the warning message link located in the Warning section of the Sign Off screen After clicking the warning error a pop up screen will display CME Firm Contact System Page 15 Global Operations Education August 2010 CME Group Firm Contact System FCS CME Group fo hitp ffsmagelavi
19. rvices Inc 737 Advantage Futures LLC AIG Clearing Corporaflion Banc of America Securttles LLC Barclays Capital Inc BAO Capital Markets Corp BNP Paribas Secures Corp Cantor Fitzgerald amp Co Dane Unknown Zone B CME Firm Contact System Page 7 Global Operations Education August 2010 CME Group Firm Contact System FCS lt CME Group Maintain Contacts Accessing Administrator s View The Maintain Contacts section allows the administrator to maintain and review their firm s locations and contact information The Maintain Contacts link redirects the user to the administrator s login screen access to this area is restricted to administrators 1 To access the administrator s view click Maintain Contacts The user will be redirected to an administrative login screen lt CMEGroup Firm Contacts Login to Firm Contacts Message Center User Name Welcome to CME Group Firm Contacts Please enter your login ID and password Password If you have problems accessing the site please contact the Clearing House at 312 207 2525 or ccos cmeqgroup com 2 Enter your User Name and Password and then click Login ME Group Firm Contacts Home Data Reports Contact Us Public Site Log Off Welcome to the CME Firm Contacts Web site The purpose of thes site is to allow you to maintain and review your firm s location and comact data This data is used by CME staff when they need fo contact someone af your fi
20. signated once per firm Edit and Delete Options e To edita firm location click the Edit link Enter the updated information and click Save Windows Internet Explorer Eg 4 Delete Training Note Cannot delete a location assigned to an employee e To return to the home page click the Home link e To delete a firm location click Delete A confirmation dialog box will display click OK me Data Reports Contact Us Public Site Log Off Locations Administrative Review Add Employees Step 2 Review your list of employees 1 Click Step 2 hyperlink to display a list of employees associated with your firm or Click Employees located under Data 2 To add a new employee click the Add New button Firm Employees Employees who are contact types for the CME CME Firm Test LastName First Name Title dit Delete Doe John Out Trades dit Delete Smith Jack VP Administration amp Regulatory Affairs CME Firm Contact System Page 11 Global Operations Education August 2010 CME Group Firm Contact System FCS 3 Enter the follow information e Courtesy Title e First Name e Middle Initial e Last Name e Informal Name e Name Suffix e Title e Physical Location e Mail Location e Floor Suite etc Phone Numbers and Email Address e Office e Mobile e FAX e Home e Email e Comments Note Foreign Phone Numbers uncheck domestic the field will expand
21. tacts Web site Once you have been given access to the site you will receive a separate E mail message containing instructions for using the site CME Firm Contact System Page 18 Global Operations Education August 2010 CME Group Firm Contact System FCS lt CME Group Appendix A Location with Foreign Address Description x Main Location Disaster Recovery Site Foreign Address Foreign Address Full address include country Country India v Phone Number x Comments Appendix B Employee with Foreign Phone Number Click the Domestic checkbox to expand the phone number field Phone Numbers and Email Address Office O Domestic Mobile LI Domestic Private Viewable by CME only FAX L Domestic Private Viewable by CME only Home Domestic U Private Viewable by CME only CME Firm Contact System Page 19 Global Operations Education August 2010 CME Group Firm Contact System FCS lt CME Group lt 3 CME Group 20 South Wacker Drive Chicago Illinois 60606 7499 Tel 1 312 930 1000 Fax 1 312 466 4410 E mail info cmegroup com Futures trading is not suitable for all investors and involves the risk of loss Futures are a leveraged investment and because only a percentage of a contract s value is required to trade it is possible to lose more than the amount of money deposited for a futures position Therefore traders should only use funds that they can afford to lose without affe
Download Pdf Manuals
Related Search