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Achieving Success: Business Processes, Means & Strategies

Table Of Contents

Business Processes

Commission staff perform key business processes—collections of specific activities and strategies—that provide the means for producing the desired outcomes and achieving the Commission’s strategic goals.

While each outcome of the Commission’s four strategic goals is supported by a specific set of business processes, there are instances in which the same business processes are executed in order to reach more than one outcome. For example, the business process, “Investigate, file, and prosecute cases,” is executed for the Goal Two outcome, “Commodity professionals meet high standards,” as well as for the Goal Three outcomes, “Clearing organizations and firms holding customer funds have sound financial practices,” and “Markets free of trade practice abuses.” Below are detailed explanations of each business process.

Conduct Economic Research

Conduct Financial Surveillance

Conduct Market Surveillance

Conduct Trade Practice Surveillance

Cooperative Enforcement

Coordinate with Domestic Regulators

Coordinate with Foreign and International Regulators

Investigate Violations

File and Prosecute Cases

Draft, Review, and Comment on Legislation

Manage Reparations Program

Regulate Business, Financial, and Sales Practices

Represent Commission in Litigation or Other Disputes

Resolve Administrative Cases

Resolve Appeals

Review Exchange Applications, Contracts, and Rules

Review SRO Enforcement

Share Information Externally

Take Appropriate Remedial or Punitive Action

Plan for and Manage the Human, Financial, Informational, and Technological Needs and Resources of the Commission

Provide Executive Leadership