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

August 2023 Audit of the Financial Stability Oversight Council’s Efforts to Address Climate-Related Financial Risk

August 2023 Annual Report of the Council of Inspectors General on Financial Oversight FY23

March 2023 Semiannual Report to Congress, October 1, 2022 - March 31, 2023

May 2023 Compliance Review: Payment Integrity Act of 2019 FY 2022

November 2022 CFTC Financial Statements Audit: Fiscal Year (FY) 2022

*NOTICE:  From time to time reports may be posted on this webpage before they can be made fully accessible (i.e. 508 compliant) due to statutory posting deadlines.  These reports are replaced with compliant reports as soon as they are available.  If you need a report which has not yet been made accessible or have any questions, please contact OIG at [email protected].

OIG Reports

Assessments of the Most Serious Management Challenges Facing the CFTC

Date	Report
November 2023	Management Challenges – Fiscal Year 2023 CFTC Transmittal Memo
September 2022	Management Challenges – Fiscal Year 2022
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

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

Date	Report
July 2023	2023 Annual Report of the Council of Inspectors General on Financial Oversight
June 2022	Council of Inspectors General on Financial Oversight CIGFO Guidance in Preparing for and Managing Crises to CFTC Chairman
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 2022	CFTC Financial Statements Audit: Fiscal Year (FY) 2022
October 2022	CPF Audit Opinion and Financial Statements FY 2022
November 2021	CFTC Financial Statements Audit: Fiscal Year (FY) 2021
October 2021	CPF Audit Opinion and Financial Statements FY 2021
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
August 2023	Audit of the Financial Stability Oversight Council’s Efforts to Address Climate-Related Financial Risk
May 2023	Compliance Review: Payment Integrity Act of 2019 FY 2022
June 2022	Compliance Review: Payment Integrity Information Act of 2019
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
February 2022	Modified Peer Review Report of the Audit Function
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 Audit Operations

Semiannual Reports

Date	Report
March 2023	Semiannual Report to Congress, October 1, 2022 - March 31, 2023
September 2022	Semiannual Report to Congress, April 2022 - September 2022
March 2022	Semiannual Report to Congress, October 2021 - March 2022 CFTC Transmittal Memo
September 2021	Semiannual Report to Congress, April 2021 - September 2021 CFTC Transmittal Memo
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