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Goal Three

Goal Three—Protect the public and market participants through a robust enforcement program.

Goal Three Performance Summary
Met	Not Met
50%	50%

The Commission is committed to prosecuting violations of the CEA and Commission regulations to protect market participants and promote market integrity. The Commission investigates and litigates cases that have the greatest impact, whether they are against some of the world's largest financial institutions for attempted manipulation, false reporting, customer fund violations, wash trading, or supervision failures, or against a Ponzi schemer who perpetrates a multi-million dollar scam on the unsuspecting public. As a result of these efforts, the Commission filed 102 enforcement actions in FY 2012. The Commission also opened more than 350 new investigations in FY 2012, among the highest annual count of new investigations in program history. In addition, DOE obtained orders imposing more than $900 million in sanctions, including orders imposing more than $450 million in civil monetary penalties and directing the payment of more than $450 million in restitution and disgorgement. Other accomplishments include:

Actively working with Federal and state criminal and civil law enforcement authorities by assisting them in more than 200 investigations and prosecutions, 50 of which were related to separate actions commenced by the CFTC.
The Commission's Whistleblower Office (WBO) developed and implemented internal policies and procedures, and helped design and open a new web portal where individuals can file tips and complaints electronically (http://www.cftc.gov/TipOrComplaint). WBO is also raising awareness of the program among interested stakeholders—including whistleblowers and their attorneys, industry and professional groups, other government agencies, SROs, and academia—through panel and seminar appearances, webinars, speeches, articles, web postings, and by answering questions posed directly to WBO about the program.

Goal Three performance measure results are depicted in the following table:

Goal Three Performance Results
	# of Measures¹	Met	Not Met
Goal Three	2	1	1
% of Total		50%	50%
¹ Excludes one performance measure categorized as "Not Applicable" for FY 2012. (back to text)

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