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Measuring Success: Strategic Goal Two—Protect market users and the public.
Table Of Contents
Outcome 2.1: Violations of Federal laws concerning futures and option contracts are detected and prevented.
Annual Performance Goal: Violators have a strong probability of being detected and sanctioned.
Performance Measures:
- Number of enforcement investigations opened during the fiscal year
- Number of enforcement cases filed during the fiscal year
- Percentage of enforcement cases closed during the fiscal year in which the Commission obtained sanctions (e.g., civil monetary penalties, restitution and disgorgement, cease and desist orders, permanent injunctions, trading bans, and registration restrictions)
- Cases filed by other criminal and civil law enforcement authorities during the fiscal year that included cooperative assistance from the Commission
Outcome 2.2: Commodity professionals meet high standards.
Annual Performance Goal: No unregistered, untested, or unlicensed commodity professionals.
Performance Measures:
- Percentage of SROs that comply with core principles
- Percentage of DCOs that comply with core principles
- Percentage of professionals compliant with standards regarding testing, licensing, and ethics training
- Percentage of SROs that comply with requirement to enforce their rules
- Percentage of total requests receiving CFTC responses for guidance and advice
Outcome 2.3: Customer complaints against persons or firms registered under the Act are handled effectively and expeditiously.
Annual Performance Goal: Customer complaints are resolved within one year from the date filed and appeals are resolved within six months.
Performance Measures:
- Percentage of filed complaints resolved within one year of the filing date for voluntary proceedings
- Percentage of filed complaints resolved within one year and six months of the filing date for summary proceedings
- Percentage of filed complaints resolved within one year and six months of the filing date for formal proceedings
- Percentage of appeals resolved within six months