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

September 2021 Management Challenges – Fiscal Year 2021

September 2021 Performance Audit: CFTC’s Compliance with the Digital Accountability and Transparency Act (DATA Act) of 2014 (FY 2021 Quarter II)

January 2021 Inspection and Evaluation of CFTC’s Compliance with E.O. 13950, Combating Race and Sex Stereotyping (September 22, 2020) (CFTC OIG 2021-IE-1)

November 2020 2020 Financial Statement Audit Opinion

OIG Reports

Assessments of the Most Serious Management Challenges Facing the CFTC
Date Report

September 2021

Management Challenges – Fiscal Year 2021

September 2020

Management Challenges – Fiscal Year 2020

August 2019

Management Challenges – Fiscal Year 2019

August 2018

Management Challenges – Fiscal Year 2018

September 2017

Management Challenges – Fiscal Year 2017

September 2016

Management Challenges – Fiscal Year 2016

October 2015

Management Challenges – Fiscal Year 2015

November 2014

Management Challenges – Fiscal Year 2014

December 2013

Management Challenges – Fiscal Year 2013

November 2012

Management Challenges – Fiscal Year 2012

November 2011

Management Challenges – Fiscal Year 2011

November 2010

Management Challenges – Fiscal Year 2010

November 2009

Management Challenges – Fiscal Year 2009

November 2008

Management Challenges – Fiscal Year 2008

November 2007

Management Challenges – Fiscal Year 2007

October 2006

Management Challenges – Fiscal Year 2006

November 2005

Management Challenges – Fiscal Year 2005

November 2004

Management Challenges – Fiscal Year 2004

Audit Reports in Cooperation with the Council of Inspectors General on Financial Oversight
Date Report

May 2019

Audit of the Financial Stability Oversight Council’s Monitoring of International Financial Regulatory Proposals and Developments Transmit to CFTC Chairman

July 2015 CIGFO-2015-001 Audit of the Financial Stability Oversight Councils Monitoring of Interest Rate Risk to the Financial System

July 2013

CIGFO Audit of the Financial Stability Oversight Council's Designation of Financial Market Utilities

Financial Audits
Date Report

November 2020

2020 Financial Statement Audit Opinion

October 2020 CPF Audit Opinion and Financial Statements FY 2020

November 2019

2019 Financial Statement Audit Opinion

October 2019 CPF Audit Opinion and Financial Statements FY 2019

November 2018

2018 Financial Statement Audit Opinion

October 2018 CPF Audit Opinion and Financial Statements FY 2018

November 2017

2017 Financial Statement Audit Opinion

October 2017 CPF Audit Opinion and Financial Statements FY 2017

November 2016

2016 Financial Statement Audit Opinion

October 2016 CPF Audit Opinion and Financial Statements FY 2016
February 2016 CFTC Financial Statement Audit Alert

January 2016

2015 Financial Statement Audit Opinion

October 2015 CPF Audit Opinion and Financial Statements FY 2015
October 2014 CPF Audit Opinion and Financial Statements FY 2014
October 2013 CPF Audit Opinion and Financial Statements FY 2013
October 2012 CPF Audit Opinion and Financial Statements FY 2012
October 2011 CPF Audit Opinion and Financial Statements FY 2011

November 2004

2004 Financial Statement Audit Opinion

Performance Audits
Date Report
September 2021

Performance Audit: CFTC’s Compliance with the Digital Accountability and Transparency Act (DATA Act) of 2014 (FY 2021 Quarter II)

September 2020

Performance Audit: CFTC’s Policies and Procedures Regarding Oversight of Cybersecurity Safeguards by Registered Entities

November 2019 Performance Audit: CFTC’s Compliance with the Digital Accountability and Transparency Act (DATA Act) of 2014 (FY 2019 Quarter 1)
May 2019

Review of CFTC’s Data Governance Program: Integrated Surveillance System

December 2017

Audit of CFTC’s Enterprise Architecture Program

May 2017

Performance Audit: U.S. Commodity Futures Trading Commission’s Oversight of the National Futures Association

October 2016

Audit of Commodity Futures Trading Commission’s Policies and Procedures For Reviewing Registrants’ Cybersecurity

September 2015 Performance Audit - Pension Prizers Audit Report
August 2015 Performance Audit – Division of Market Oversight’s Rule Enforcement Review
October 2014

Performance Audit – Management’s Use of Information Technology Resources in Support of its Strategic Plan and Regulatory Responsibilities

July 2014 CFTC’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 2014 Performance 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 2014

Fiscal Year 2013 Audit of CFTC Compliance with the Federal Information Security Management Act of 2002

Other Audits and Reviews
Date Report

May 2019

Briefing Report: Unaccounted Laptops

May 2018

Review of the U.S. Commodity Futures Trading Commission Purchase Card and Convenience Check Program

May 2018

Audit of Commodity Futures Trading Commission Compliance with the Improper Payments Elimination and Recovery Improvement Act of 2012

October 2017

Attestation Report: Compliance with DATA Act of 2014 - Reporting Accuracy in Fiscal Year 2017 Quarter II

April 2017

OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program

April 2017

CFTC Compliance with the Improper Payments Elimination and Recovery Improvement Act of 2012

November 2016 Readiness Review of the CFTC Progress toward Compliance with the DATA Act

September 2016

Review of the CFTC Travel Card Program

June 2016

Review of Management Assurances Over Internal Controls

May 2016

Audit of Commodity Futures Trading Commission Compliance with the Improper Payments Elimination and Recovery Improvement Act of 2012

March 2016

Custodial Receivables Financial Reporting Challenges

February 2016

OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program

June 2015

Review of CFTC Compliance with Improper Payments Elimination and Recovery Act of 2010 (IPERA) during FY 2014- IG Letter

March 2015

OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program

April 2014

Review of CFTC Compliance with Improper Payments Elimination and Recovery Act of 2010 (IPERA) during FY 2013- IG Letter

November 2014

Federal Managers Financial Integrity Act, Limited Review

Inspections/Evaluations
Date Report

January 2021

Inspection and Evaluation of CFTC’s Compliance with E.O. 13950, Combating Race and Sex Stereotyping (September 22, 2020) (CFTC OIG 2021-IE-1)

September 2019

Evaluation: Management of Select Service Contracts Used by the Office of Data and Technology (ODT)

October 2018

Inspection and Evaluation of the February 2018 CFTC-SEC harmonization briefing

February 2018

Inspection & Evaluation CFTC Stress-Testing Development Efforts

-Appendix 35 –NERA Review of CFTC DCR Stress Testing Programs

-Signed Final Cover Letter

September 2012

Inspection of CFTC’s Division of Enforcement-Disposition of Preliminary Investigations Reports

May 2010

Inspection of CFTC's Disposal of Surplus Information Technology Equipment

Investigations
Date Report

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 2015

Allegation of Illegal Trading

February 2012 Report of Preliminary Investigation Regarding Position Limits Rulemaking Efforts Undertaken by the Commodity Futures Trading Commission Pursuant to the Dodd-Frank Act
Administrative Investigative Reports
Date Report

September 2016

CFTC OIG Whistleblower Report

April 2016

Final Review of Space Utilization of the Washington, DC Office

January 2016

Follow Up Report: Review of the Commodity Futures Trading Commission’s Response to Allegations Pertaining to the Office of the Chief Economist

September 2015

CFTC OIG Review of NY Lease and Occupancy With Management Response, Redacted

February 2015

Final Review of Space Utilization of the Chicago Regional Office with Cover Redacted

June 2014

A Review of Leasing and Occupancy Levels of the Kansas City Regional Office of the Commodity Futures Trading Commission

February 2014

Review of the Commodity Futures Trading Commission's Response to Allegations Pertaining to the Office of the Chief Economist

May 2013

Review of the Commodity Futures Trading Commission's Oversight and Regulation of MF Global, Inc.

January 2013 Study 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 2012

A Review of 75 Purchases by the Commodity Futures Trading Commission: March 2011 – March 2012

June 2011

A Review of Cost-Benefit Analyses Performed by the Commodity Futures Trading Commission in Connection with Rulemakings Undertaken Pursuant to the Dodd-Frank Act

April 2011

An 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
Date Report

June 2017

A Review of the Cost-Benefit Consideration for the Margin Rule for Uncleared Swaps (Inspection/Evaluation)

Peer Review Reports
Date Report

August 2019

Peer Review Report of CFTC OIG Audit Function

August 2019 Peer Review Report of National Endowment of the Arts OIG (Audit Function)
March 2017 Appalachian Regional Commission Office of the Inspector General System Review Report (Audit Function)

August 2016

Peer Review Report of CFTC OIG Audit Function

May 2014

Peer Review Report of CFTC OIG Audit Function, including CFTC-IG comments

April 2014

Peer Reviewer Comment Letter regarding the Peer Review of the CFTC-OIG Audit Function

March 2013 Peer Review Report of CFTC OIG on Investigative Operations

March 2011

Peer Review Report of CFTC OIG on Investigative Operations

Semiannual Reports
Date Report
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 2017

Semiannual Report to Congress, October 2016 - March 2017

September 2016

Semiannual Report to Congress, April 2016 - September 2016

CFTC Transmittal Memo

March 2016

Semiannual Report to Congress, October 2015 - March 2016

September 2015

Semiannual Report to Congress, April 2015 - September 2015

March 2015

Semiannual Report to Congress, October 2014 - March 2015

September 2014

Semiannual Report to Congress, April 2014 - September 2014

March 2014

Semiannual Report to Congress, October 2013 - March 2014

September 2013

Semiannual Report to Congress, April 2013 - September 2013

March 2013

Semiannual Report to Congress, October 2012 - March 2013

September 2012

Semiannual Report to Congress, April 2012 - September 2012

March 2012

Semiannual Report to Congress, October 2011 - March 2012

September 2011

September 30, 2011 Report, April 2011 – September 2011

March 2011

Semiannual Report to Congress, October 2010 - March 2011

September 2010

Semiannual Report to Congress, April 2010 – September 2010

March 2010

Semiannual Report to Congress, October 2009 - March 2010

September 2009

Semiannual Report to Congress, April 2009 – September 2009

March 2009

Semiannual Report to Congress, October 2008 - March 2009

September 2008

Semiannual Report to Congress, April 2008 – September 2008

March 2008

Semiannual Report to Congress, October 2007 - March 2008

September 2007

Semiannual Report to Congress, April 2007 – September 2007

March 2007

Semiannual Report to Congress, October 2006 - March 2007

September 2006

Semiannual Report to Congress, April 2006 – September 2006

March 2006

Semiannual Report to Congress, October 2005 - March 2006

September 2005

Semiannual Report to Congress, April 2005 – September 2005

March 2005

Semiannual Report to Congress, October 2004 - March 2005

September 2004

Semiannual Report to Congress, April 2004 – September 2004

March 2004

Semiannual Report to Congress, October 2003 - March 2004

September 2003

Semiannual Report to Congress, April 2003 – September 2003

March 2003

Semiannual Report to Congress, October 2002 - March 2003

September 2002

Semiannual Report to Congress, April 2002 – September 30, 2002

March 2002

Semiannual Report to Congress, October 2001 - March 2002

September 2001

Semiannual Report to Congress, April 2001 – September 2001

March 2001

Semiannual Report to Congress, October 2000 - March 2001

September 2000

Semiannual Report to Congress, April 2000 – September 2000

March 2000

Semiannual Report to Congress, October 1999 - March 2000

Whitepapers
Date Report

September 2018

Whitepaper: Expanding Customer Education Initiatives and

Transmittal Letter: Expanding Customer Education Initiatives

September 2017

Lean 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.