GOAL ONE: Ensure the economic vitality of the commodity futures and option markets.
Outcome
Business Processes
1.1 Markets that accurately reflect the forces of supply and demand for the underlying commodity and are free of disruptive activity.
Conduct financial surveillance
Conduct market surveillance
Conduct trade practice surveillance
Conduct economic research
Review trading facility filings and clearing organization contracts and rules
Conduct cooperative enforcement
Investigate violations
File and prosecute cases
Take appropriate remedial or punitive action
1.2 Markets are effectively and efficiently monitored to ensure early warning of potential problems or issues that could adversely affect their economic vitality.
Conduct financial surveillance
Conduct market surveillance
Conduct trade practice surveillance
Conduct economic research
Review trading facility filings and clearing organization contracts, and rules
Investigate violations
File and prosecute cases
Share information externally
Coordinate with domestic regulators
GOAL TWO: Protect market users and the public.
Outcome
Business Processes
2.1 Violations of Federal commodities laws are detected and prevented.
Conduct financial surveillance
Conduct cooperative enforcement
Investigate violations
File and prosecute cases
Resolve administrative enforcement cases
Resolve appeals
Share information externally
Take appropriate remedial or punitive action
Represent Commission in litigation or other disputes
Collect monetary penalties from violators
2.2 Commodity professionals meet high standards.
Provide guidance, advice, and regulate business, financial, and sales practices
Review self-regulatory organizations and clearing organizations
Investigate, file, and prosecute cases
2.3 Customer complaints against persons or firms registered under the Act are handled effectively and expeditiously.
Manage reparations program
Resolve appeals
Represent Commission in litigation or other disputes
GOAL THREE: Ensure market integrity in order to foster open,
competitive, and financially sound markets.
Outcome
Business Processes
3.1 Clearing organizations and firms holding customer funds have sound financial practices.
Conduct financial surveillance
Provide guidance, advice, and regulate business, financial, and sales practices
Review self-regulatory organization enforcement
Investigate violations
File and prosecute cases
Take appropriate remedial or punitive action
3.2 Commodity futures and option markets are effectively self-regulated.
Conduct financial surveillance
Provide guidance, advice, and regulate business, financial, and sales practices
Review exchange applications, contracts, and rules
Review self-regulatory organization enforcement
3.3 Markets are free of trade practice abuses.
Investigate violations
File and prosecute cases
3.4 Regulatory environment is flexible and responsive to evolving market conditions.
Coordinate with domestic regulators
Coordinate with foreign and international regulators
Draft, review, and comment on legislation
Provide guidance, advice, and regulate business, financial, and sales practices
GOAL FOUR: Facilitate Commission performance through organizational and management excellence, efficient use of resources, and effective mission support.
Outcome
Business Processes
4.1 Productive, technically competent, competitively compensated, and diverse workforce that takes into account current and future technical and professional needs of the Commission.
Plan for and manage the human needs and resources of the Commission
4.2 Modern and secure information system that reflects the strategic priorities of the Commission.
Plan for and manage the information and technological needs and resources of the Commission
4.3 Organizational infrastructure that efficiently and effectively responds to and anticipates both the routine and emergency business needs of the Commission.
Plan for and manage the security and infrastructure needs and resources of the Commission
4.4 Financial resources are allocated, managed, and accounted for in accordance with the strategic priorities of the Commission.
Plan for and manage the financial needs and resources of the Commission
4.5 Commission’s mission is fulfilled and goals are achieved through sound management and organizational excellence provided by executive leadership.
