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Exchange Risk Controls Repository

Results of an FIA survey of exchange-provided electronic trading risk mitigation controls

FIA is building and maintaining a central repository of exchange-provided risk controls and practices in global cleared derivatives markets for the exclusive use of FIA members. In consultation with member firms, we developed a survey that helps provide greater transparency and facilitates risk-control benchmarking for global brokers, clearing firms, trading firms and commercial and institutional traders. This convenient centralized source of information about exchange risk controls makes it easier for firms to expand the range of markets that they use around the world.

We sent the survey to exchanges around the world. To date we have collected surveys from the exchanges listed below. The repository will grow as FIA continues to encourage exchanges to respond to the survey and additional information will be added when received. We will prompt exchanges to review and update their data on an annual basis. The data in these surveys is current as of the date indicated and is being presented as received by FIA without interpretation or verification.

In the survey responses you will find information on:

  • Pre-trade risk controls – both general and configurable

  • Market integrity controls

  • Certification and testing environments

  • Exchange website URL and email address for additional information

Please note, Question 128 at the end of the survey offers space for each exchange to provide clarifications or additional information about its survey response.

Disclaimer: FIA publishes these surveys for informational purposes and does not guarantee accuracy or completeness. FIA specifically disclaims any legal responsibility for any errors or omissions and any liability for losses or damages incurred through the use of these surveys. Please notify FIA at ExchangeRiskControlsSurvey@fia.org if there are any errors or omissions, or for more information about the survey or how it was conducted.

Australian Securities Exchange (ASX)

Download a copy of the completed risk controls survey submitted by ASX on 18 January 2022 (Reviewed on 18 January 2023)

ASX 24

Download a copy of the completed risk controls survey submitted by ASX 24 on 18 January 2022 (Reviewed on 18 January 2023)

B3

Download a copy of the completed risk controls survey submitted by B3 on 10 March 2022 (Reviewed February 2025)

Bitnomial Exchange

Download a copy of the completed risk controls survey submitted by Bitnomial Exchange on 24 February 2022

Bolsa Mexicana de Valores (BMV)

Download a copy of the completed risk controls survey submitted by MexDer on 7 January 2022 (Reviewed on 23 January 2023)

Borsa Istanbul

Download a copy of the completed risk controls survey submitted by Borsa Istanbul on 28 July 2022 (Reviewed February 2025)

Cboe

Download a copy of the completed risk controls survey submitted by Cboe Futures Exchange on 17 February 2022 (Reviewed March 2025)

China Financial Futures Exchange - CFFEX

Download a copy of the completed risk controls survey submitted by CFFEX on 07 September 2022

CME Group

Download a copy of the completed risk controls survey submitted by CME Group on 18 January 2022 (Reviewed February 2025)

EEX

European Energy Exchange (EEX): Download a copy of the completed risk controls survey submitted by EEX on 19 August 2022 (Reviewed February 2025)

Eurex

Download a copy of the completed risk controls survey submitted by Eurex on 2 March 2022

ErisX

Download a copy of the completed risk controls survey submitted by ErisX on 26 July 2022

FEX Global

Download a copy of the completed risk controls survey submitted by FEX on 4 January 2022

FMDQ Securities Exchange Limited

Download a copy of the completed risk controls survey submitted by FMDQ Securities Exchange Limited on 14 March 2022 (Reviewed March 2025)

Hong Kong Exchanges and Clearing (HKEX)

Download a copy of the completed risk controls survey submitted by HKEX on 12 January 2022 (Reviewed March 2025)

Intercontinental Exchange (ICE)

Download a copy of the completed risk controls survey submitted by ICE on 5 July 2022

ICE Futures Europe (IFEU)

Refer to the completed risk controls survey submitted by ICE on 5 July 2022

ICE Futures US (IFUS)

Refer to the completed risk controls survey submitted by ICE on 5 July 2022

ICE Futures Singapore (Sing)

Refer to the completed risk controls survey submitted by ICE on 5 July 2022

ICE Futures Abu Dhabi (IFAD)

Refer to the completed risk controls survey submitted by ICE on 5 July 2022

ICE Endex (Endex)

Refer to the completed risk controls survey submitted by ICE on 5 July 2022

India International Exchange (IFSC) Limited

Download a copy of the completed risk controls survey submitted by India International Exchange (IFSC) Limited on 25 July 2022

Japan Exchange Group (JPX)

Download a copy of the completed risk controls survey submitted by Japan Exchange Group submitted on 27 December 2021 (Reviewed February 2025)

Japan Securities Clearing Corporation

Refer to the completed risk controls survey submitted by Japan Exchange Group on 27 December 2021 (Reviewed February 2025)

Korea Exchange (KRX)

Download a copy of the completed risk controls survey submitted by Korea Exchange (KRX) in February 2025

London Metals Exchange (LME)

Download a copy of the completed risk controls survey submitted by LME on 9 March 2022

Mexican Derivatives Exchange (MexDer)

Download a copy of the completed risk controls survey submitted by MexDer on 7 January 2022 (Reviewed on 23 January 2023)

Minneapolis Grain Exchange (MGEX)

All Minneapolis Grain Exchange products trade electronically on the CME Globex platform. Download a copy of the completed risk controls survey submitted by CME Group on 18 January 2022 (Reviewed on 27 February 2023)

Montreal Exchange 

Download a copy of the completed risk controls survey submitted by Montreal Exchange on 16 February 2022 (Reviewed February 2025)

Osaka Exchange

Refer to the completed risk controls survey submitted by Japan Exchange Group on 27 December 2021 (Reviewed February 2025)

Singapore Exchange (SGX)

Download a copy of the completed risk controls survey submitted by SGX on 16 January 2022 (Reviewed February 2025)

Taiwan Futures Exchange (TAIFEX)

Download a copy of the completed risk controls survey submitted by TAIFEX on 27 December 2021 (Reviewed February 2025)

Tokyo Commodity Exchange (TOCOM)

Refer to the completed risk controls survey submitted by Japan Exchange Group on 27 December 2021 (Reviewed February 2025)

Warsaw Stock Exchange

Download a copy of the completed risk controls survey submitted by the Warsaw Stock Exchange on 21 February 2022 (Reviewed on 6 March 2023)