Office of the Inspector General

The Office of the Inspector General (OIG): 

  • Conducts and supervises audits and investigations of programs and operations of the CFTC
  • Recommends policies to promote economy, efficiency and effectiveness in CFTC programs and operations
  • Detects and prevents waste, fraud and abuse in connection with CFTC programs and operations.

To report Misconduct by a Market Participant, please use the button below:

Report Misconduct by a Market Participant

To report Misconduct by a CFTC Employee or Contractor, submit your information here:

Report Misconduct by a CFTC employee or contractor

Latest OIG Reports

March 2025 Audit of CFTC’s Enterprise Risk Management Program (ERM)

December 2024 Semiannual Report to Congress April 1, 2024 - September 30, 2024

November 2024 CFTC Financial Statement Audit Report FY 2024

November 2024 CPF Audit Opinion and Financial Statements FY 2024

October 2024 Management Challenges – Fiscal Year 2025

*NOTICE:  From time to time reports may be posted on this webpage before they can be made fully accessible (i.e. 508 compliant) due to statutory posting deadlines.  These reports are replaced with compliant reports as soon as they are available.  If you need a report which has not yet been made accessible or have any questions, please contact OIG at oigemail@cftc.gov.

 

 

 

OIG Reports

 

Inspector General Strategic and Work Plans
DateReport
October 2024CFTC OIG Annual Work Plan FY 2025
February 2024CFTC OIG FY 2024 Work Plan
February 2024 CFTC OIG Strategic Plan for FY 2024 - FY 2028
Assessments of the Most Serious Management Challenges Facing the CFTC
DateReport
October 2024Management Challenges – Fiscal Year 2025
November 2023Management Challenges – Fiscal Year 2023
CFTC Transmittal Memo
September 2022Management Challenges – Fiscal Year 2022
September 2021Management Challenges – Fiscal Year 2021
September 2020Management Challenges – Fiscal Year 2020
August 2019Management Challenges – Fiscal Year 2019
August 2018Management Challenges – Fiscal Year 2018
September 2017Management Challenges – Fiscal Year 2017
September 2016Management Challenges – Fiscal Year 2016
October 2015Management Challenges – Fiscal Year 2015
November 2014Management Challenges – Fiscal Year 2014
December 2013Management Challenges – Fiscal Year 2013
November 2012Management Challenges – Fiscal Year 2012
November 2011Management Challenges – Fiscal Year 2011
November 2010Management Challenges – Fiscal Year 2010
November 2009Management Challenges – Fiscal Year 2009
November 2008Management Challenges – Fiscal Year 2008
November 2007Management Challenges – Fiscal Year 2007
October 2006Management Challenges – Fiscal Year 2006
November 2005Management Challenges – Fiscal Year 2005
November 2004Management Challenges – Fiscal Year 2004
Reports in Cooperation with the Council of Inspectors General on Financial Oversight
DateReport
July 20242024 Annual Report of the Council of the Inspectors General on Financial Oversight
July 20232023 Annual Report of the Council of Inspectors General on Financial Oversight
June 2022Council of Inspectors General on Financial Oversight CIGFO Guidance in Preparing for and Managing Crises to CFTC Chairman
May 2019Audit of the Financial Stability Oversight Council’s Monitoring of International Financial Regulatory Proposals and Developments Transmit to CFTC Chairman
July 2015CIGFO-2015-001 Audit of the Financial Stability Oversight Councils Monitoring of Interest Rate Risk to the Financial System
July 2013CIGFO Audit of the Financial Stability Oversight Council's Designation of Financial Market Utilities
Financial Audits
DateReport
November 2024CFTC Financial Statement Audit Report FY 2024
November 2024CPF Audit Opinion and Financial Statements FY 2024
November 2023CFTC Financial Statements Audit: Fiscal Year (FY) 2023
October 2023CPF Audit Opinion and Financial Statements FY 2023
CFTC Transmittal Memo
November 2022CFTC Financial Statements Audit: Fiscal Year (FY) 2022
October 2022CPF Audit Opinion and Financial Statements FY 2022
November 2021CFTC Financial Statements Audit: Fiscal Year (FY) 2021
October 2021CPF Audit Opinion and Financial Statements FY 2021
November 20202020 Financial Statement Audit Opinion
October 2020CPF Audit Opinion and Financial Statements FY 2020
November 20192019 Financial Statement Audit Opinion
October 2019CPF Audit Opinion and Financial Statements FY 2019
November 20182018 Financial Statement Audit Opinion
October 2018CPF Audit Opinion and Financial Statements FY 2018
November 20172017 Financial Statement Audit Opinion
October 2017CPF Audit Opinion and Financial Statements FY 2017
November 20162016 Financial Statement Audit Opinion
October 2016CPF Audit Opinion and Financial Statements FY 2016
February 2016CFTC Financial Statement Audit Alert
January 20162015 Financial Statement Audit Opinion
October 2015CPF Audit Opinion and Financial Statements FY 2015
October 2014CPF Audit Opinion and Financial Statements FY 2014
October 2013CPF Audit Opinion and Financial Statements FY 2013
October 2012CPF Audit Opinion and Financial Statements FY 2012
October 2011CPF Audit Opinion and Financial Statements FY 2011
November 20042004 Financial Statement Audit Opinion
Performance Audits
DateReport
March 2025Audit of CFTC’s Enterprise Risk Management Program (ERM)
September 2021Performance Audit: CFTC’s Compliance with the Digital Accountability and Transparency Act (DATA Act) of 2014 (FY 2021 Quarter II)
September 2020Performance Audit: CFTC’s Policies and Procedures Regarding Oversight of Cybersecurity Safeguards by Registered Entities
November 2019Performance Audit: CFTC’s Compliance with the Digital Accountability and Transparency Act (DATA Act) of 2014 (FY 2019 Quarter 1)
May 2019Review of CFTC’s Data Governance Program: Integrated Surveillance System
December 2017Audit of CFTC’s Enterprise Architecture Program
May 2017Performance Audit: U.S. Commodity Futures Trading Commission’s Oversight of the National Futures Association
October 2016Audit of Commodity Futures Trading Commission’s Policies and Procedures For Reviewing Registrants’ Cybersecurity
September 2015Performance Audit - Pension Prizers Audit Report
August 2015Performance Audit – Division of Market Oversight’s Rule Enforcement Review
October 2014Performance Audit – Management’s Use of Information Technology Resources in Support of its Strategic Plan and Regulatory Responsibilities
July 2014CFTC’s Management Controls and Procedures for Evaluating Futures Commission Merchants’(FCM) and Retail Foreign Exchange Dealers’(RFED) Compliance with CFTC Financial Reporting Requirements Mandated by the Commodity Exchange Act and the Dodd Frank Act
May 2014Performance Audit of CFTC’s Consumer Outreach Program’s Efforts for Enhancing Awareness of Regulatory Resources and Protections Available to Commodity Market Users Against Fraud
February 2014Fiscal Year 2013 Audit of CFTC Compliance with the Federal Information Security Management Act of 2002
Other Audits and Reviews
DateReport
October 2024Fiscal Year 2024 Audit of CFTC’s Compliance with the Implementation of the Federal Information Security Modernization Act of 2014
July 2024CFTC’s Compliance with the Payment Integrity Information Act of 2019 for FY 2023
May 2024Fiscal Year 2023 Audit of CFTC’s Compliance with the Implementation of the Federal Information Security Modernization Act of 2014
August 2023Audit of the Financial Stability Oversight Council’s Efforts to Address Climate-Related Financial Risk
May 2023Compliance Review: Payment Integrity Act of 2019 FY 2022
June 2022Compliance Review: Payment Integrity Information Act of 2019
May 2019Briefing Report: Unaccounted Laptops
May 2018Review of the U.S. Commodity Futures Trading Commission Purchase Card and Convenience Check Program
May 2018Audit of Commodity Futures Trading Commission Compliance with the Improper Payments Elimination and Recovery Improvement Act of 2012
October 2017Attestation Report: Compliance with DATA Act of 2014 - Reporting Accuracy in Fiscal Year 2017 Quarter II
April 2017OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program
April 2017CFTC Compliance with the Improper Payments Elimination and Recovery Improvement Act of 2012
November 2016Readiness Review of the CFTC Progress toward Compliance with the DATA Act
September 2016Review of the CFTC Travel Card Program
June 2016Review of Management Assurances Over Internal Controls
May 2016Audit of Commodity Futures Trading Commission Compliance with the Improper Payments Elimination and Recovery Improvement Act of 2012
March 2016Custodial Receivables Financial Reporting Challenges
February 2016OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program
June 2015Review of CFTC Compliance with Improper Payments Elimination and Recovery Act of 2010 (IPERA) during FY 2014- IG Letter
March 2015OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program
April 2014Review of CFTC Compliance with Improper Payments Elimination and Recovery Act of 2010 (IPERA) during FY 2013- IG Letter
November 2014Federal Managers Financial Integrity Act, Limited Review
Inspections/Evaluations
DateReport
January 2021Inspection and Evaluation of CFTC’s Compliance with E.O. 13950, Combating Race and Sex Stereotyping (September 22, 2020) (CFTC OIG 2021-IE-1)
September 2019Evaluation: Management of Select Service Contracts Used by the Office of Data and Technology (ODT)
October 2018Inspection and Evaluation of the February 2018 CFTC-SEC harmonization briefing
February 2018

Removal Notice for CFTC OIG Inspection & Evaluation, CFTC Stress-Testing Development Efforts (February 1, 2024)

NERA Review of CFTC DCR Stress Testing Programs

September 2012Inspection of CFTC’s Division of Enforcement-Disposition of Preliminary Investigations Reports
May 2010Inspection of CFTC's Disposal of Surplus Information Technology Equipment
Investigations
DateReport
March 2017

Investigation into Potential Violation of 18 U.S.C. § 208: Acts Affecting a Personal Financial Interest,

OIG Follow-Up Memo Regarding March 30, 2017, OIG Investigative Report

June 2016

Investigation into a Potential Information Technology Security Incident,

- Agency Response to June 27, 2016, OIG investigative report, September 2016

- OIG Follow-Up Memo Regarding June 27, 2016, OIG Investigative Report, December 2016

February 2015Allegation of Illegal Trading
February 2012Report of Preliminary Investigation Regarding Position Limits Rulemaking Efforts Undertaken by the Commodity Futures Trading Commission Pursuant to the Dodd-Frank Act
Administrative Investigative Reports
DateReport
September 2016CFTC OIG Whistleblower Report
April 2016Final Review of Space Utilization of the Washington, DC Office
January 2016Follow Up Report: Review of the Commodity Futures Trading Commission’s Response to Allegations Pertaining to the Office of the Chief Economist
September 2015CFTC OIG Review of NY Lease and Occupancy With Management Response, Redacted
February 2015Final Review of Space Utilization of the Chicago Regional Office with Cover Redacted
June 2014A Review of Leasing and Occupancy Levels of the Kansas City Regional Office of the Commodity Futures Trading Commission
February 2014Review of the Commodity Futures Trading Commission's Response to Allegations Pertaining to the Office of the Chief Economist
May 2013Review of the Commodity Futures Trading Commission's Oversight and Regulation of MF Global, Inc.
January 2013Study mandated by Dodd Frank Act - Audit Report on the Impact of the Freedom of Information Act Exemption Related to Protecting the Identity of Whistleblowers in Fiscal Year 2012 and 2011
December 2012A Review of 75 Purchases by the Commodity Futures Trading Commission: March 2011 – March 2012
June 2011A Review of Cost-Benefit Analyses Performed by the Commodity Futures Trading Commission in Connection with Rulemakings Undertaken Pursuant to the Dodd-Frank Act
April 2011An Investigation Regarding Cost-Benefit Analyses Performed by the Commodity Futures Trading Commission in Connection with Rulemakings Undertaken Pursuant to the Dodd-Frank Act
Law and Economic Reports
DateReport
June 2017A Review of the Cost-Benefit Consideration for the Margin Rule for Uncleared Swaps (Inspection/Evaluation)
Peer Review Reports
DateReport
August 2024Modified Peer Review Report of the Inspection & Evaluation Function
June 2024Audit Peer Review Report on the CFTC OIG for Period Ending March 2022
February 2022Modified Peer Review Report of the Audit Function
August 2019Peer Review Report of CFTC OIG Audit Function
August 2019Peer Review Report of National Endowment of the Arts OIG (Audit Function)
March 2017Appalachian Regional Commission Office of the Inspector General System Review Report (Audit Function)
August 2016Peer Review Report of CFTC OIG Audit Function
May 2014Peer Review Report of CFTC OIG Audit Function, including CFTC-IG comments
April 2014Peer Reviewer Comment Letter regarding the Peer Review of the CFTC-OIG Audit Function
March 2013Peer Review Report of CFTC OIG on Investigative Operations
March 2011Peer Review Report of CFTC OIG on Audit Operations
Semiannual Reports
DateReport
December 2024Semiannual Report to Congress April 1, 2024 - September 30, 2024
May 2024Semiannual Report to Congress October 1, 2023 – March 31, 2024
CFTC Transmittal Memo
September  2023

Seminannual Report to Congress April 1, 2023 - September 30, 2023

CFTC Transmittal Memo

March 2023Semiannual Report to Congress, October 1, 2022 - March 31, 2023
September 2022Semiannual Report to Congress, April 2022 - September 2022
March 2022

Semiannual Report to Congress, October 2021 - March 2022

CFTC Transmittal Memo

September 2021

Semiannual Report to Congress, April 2021 - September 2021

CFTC Transmittal Memo

March 2021

Semiannual Report to Congress, October 2020 - March 2021

CFTC Transmittal Memo

September 2020

Semiannual Report to Congress, April 2020 - September 2020

CFTC Transmittal Memo

March 2020

Semiannual Report to Congress, October 2019 - March 2020

CFTC Transmittal Memo

September 2019

Semiannual Report to Congress, April 2019 - September 2019

CFTC Transmittal Memo

March 2019

Semiannual Report to Congress, October 2018 - March 2019

CFTC Transmittal Memo

September 2018

Semiannual Report to Congress, April 2018 - September 2018

CFTC Transmittal Memo

March 2018

Semiannual Report to Congress, October 2017 - March 2018

CFTC Transmittal Memo

September 2017

Semiannual Report to Congress, April 2017 - September 2017

CFTC Transmittal Memo

March 2017Semiannual Report to Congress, October 2016 - March 2017
September 2016

Semiannual Report to Congress, April 2016 - September 2016

CFTC Transmittal Memo

March 2016Semiannual Report to Congress, October 2015 - March 2016
September 2015Semiannual Report to Congress, April 2015 - September 2015
March 2015Semiannual Report to Congress, October 2014 - March 2015
September 2014Semiannual Report to Congress, April 2014 - September 2014
March 2014Semiannual Report to Congress, October 2013 - March 2014
September 2013Semiannual Report to Congress, April 2013 - September 2013
March 2013Semiannual Report to Congress, October 2012 - March 2013
September 2012Semiannual Report to Congress, April 2012 - September 2012
March 2012Semiannual Report to Congress, October 2011 - March 2012
September 2011September 30, 2011 Report, April 2011 – September 2011
March 2011Semiannual Report to Congress, October 2010 - March 2011
September 2010Semiannual Report to Congress, April 2010 – September 2010
March 2010Semiannual Report to Congress, October 2009 - March 2010
September 2009Semiannual Report to Congress, April 2009 – September 2009
March 2009Semiannual Report to Congress, October 2008 - March 2009
September 2008Semiannual Report to Congress, April 2008 – September 2008
March 2008Semiannual Report to Congress, October 2007 - March 2008
September 2007Semiannual Report to Congress, April 2007 – September 2007
March 2007Semiannual Report to Congress, October 2006 - March 2007
September 2006Semiannual Report to Congress, April 2006 – September 2006
March 2006Semiannual Report to Congress, October 2005 - March 2006
September 2005Semiannual Report to Congress, April 2005 – September 2005
March 2005Semiannual Report to Congress, October 2004 - March 2005
September 2004Semiannual Report to Congress, April 2004 – September 2004
March 2004Semiannual Report to Congress, October 2003 - March 2004
September 2003Semiannual Report to Congress, April 2003 – September 2003
March 2003Semiannual Report to Congress, October 2002 - March 2003
September 2002Semiannual Report to Congress, April 2002 – September 30, 2002
March 2002Semiannual Report to Congress, October 2001 - March 2002
September 2001Semiannual Report to Congress, April 2001 – September 2001
March 2001Semiannual Report to Congress, October 2000 - March 2001
September 2000Semiannual Report to Congress, April 2000 – September 2000
March 2000Semiannual Report to Congress, October 1999 - March 2000
Whitepapers
DateReport
September 2018

Whitepaper: Expanding Customer Education Initiatives and

Transmittal Letter: Expanding Customer Education Initiatives

September 2017Lean Labor: A Case Study -- Whitepaper

 

OFFICE OF SPECIAL COUNSEL NOTICE:

 

The Office of Special Counsel's Section 2302(c) Certification Program allows federal agency OIGs to meet the statutory obligation to inform their workforces about the rights and remedies available to them under the Whistleblower Protection Act and related civil service laws. Under OSC's Section 2302(c) Certification Program, OSC will certify compliance with 5 U.S.C. § 2302(c) if the following five requirements are met:

  • Placing informational posters at agency facilities;
  • Providing information about prohibited personnel practices and the WPA to new employees as part of the orientation process;
  • Providing information to current employees about prohibited personnel practices and the WPA;
  • Training supervisors on prohibited personnel practices and the WPA; and
  • Creation of a link from the OIG’s website to OSC’s website.


CFTC OIG strives to conform to these requirements.