CME Group is committed to the protection of its members, employees, and stakeholders. CME Group has a long history of managing risk. In keeping with that tradition, CME Group has Business Continuity Planning (BCP) Program capabilities in place. This topic describes the processes required to connect to the CME Group Trade Repository Disaster Recovery (DR) Environment for testing and also describes processes if an official DR event occurs. This information is intended for CME Group customers and service providers.

CME Group Trade Repository Disaster Recovery consists of the following:

CME Trade Repository Disaster Recovery Process

CME Clearing Disaster Recovery Process utilizes email contact of registered users to notify in the event of an emergency or DR situation.

Recovery Time Frames

The CME Trade Repository maintains a Business Impact Analysis (BIA) report. Within the BIA the CME Group identifies recovery times for all its applications with various recovery times. The recovery timeframe in the event there is a disruption to the data center that houses the CME Trade Repository production environment will be 2 hours or less. Recovery time for additional non-essential applications may occur outside of the 2-hour Recovery Time Objective (RTO) window. If the disruption occurs in a data center that does not house the CME Trade Repository production environment, no recovery time is needed.

Disaster Recovery Scenarios

In the event of a DR situation, the CME Trade Repository plans for 1 scenario; Client (or Service Provider) Product to CME Trade Repository DR.

In this scenario, the CME Group is forced to failover the Trade Repository environment to the back-up DR environment.

MQ, URLs and SFTP IPs are managed by CME Group and will access whichever environment is acting as production at that time (e.g., production or Disaster Recovery environments).

The testing scenario for the FIA exercise is dictated by the FIA. On 2 designated Saturdays prior to the FIA test date; the CME Trade Repository enables clients and service providers to ping test connectivity for that test date. These test times can be coordinated in advance with CME Trade Repository Client Support at repositorysupport@cmegroup.com.

CME Disaster Recovery Testing

This describes how CME Trade Repository conducts regular internal and industry-wide testing.

Internal Testing

CME Trade Repository conducts internal fail-over testing on a monthly basis. During that testing, the CME Trade Repository production environment is failed over to the Disaster Recovery environment. Upon completion of the test, all connections are restored.

Industry Testing

Annually, CME Trade Repositories participate in industry-wide testing with the FIA. As part of the FIA test, firms are instructed to connect from their DR locations to the CME Trade Repository DR Environment. Participants must register on the FIA website prior to the exercise. This exercise is typically held on the 3rd or 4th Saturday in October.

In preparation for the FIA test, 2 Saturday Trade Repository connectivity test dates are offered prior to the FIA test date. If a customer would like to participate in any additional connectivity tests throughout the year, they need to contact CME Repository Services Client Support.

The simulated Trade Repository (FIA) DR exercise allows firms to complete the following tasks by pointing their DR IP addresses to the CME Trade Repository DR environment:

• Access all relevant CME Trade Repository applications via web URL

• Complete an MQ ping test

• Retrieve data reports via DR SFTP servers

• Submit trades in the DR Trade Repository application

Transition to DR Environment

See additional information on the environment that requires changes should an event dictate failing over to a disaster recovery state.

Network Requirements

Your existing network configuration will remain intact.

FTP IP Changes

The CME Trade Repository FTP servers are completely redundant. Full back-up DR servers are available for SFTP access.