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
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Date Report November 2023 Management Challenges – Fiscal Year 2023
CFTC Transmittal MemoSeptember 2022
September 2021
September 2020
August 2019
August 2018
September 2017
September 2016
October 2015
November 2014
December 2013
November 2012
November 2011
November 2010
November 2009
November 2008
November 2007
October 2006
November 2005
November 2004
- Reports in Cooperation with the Council of Inspectors General on Financial Oversight
- Financial Audits
- Performance Audits
- Other Audits and Reviews
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Date Report August 2023
May 2023
June 2022
Compliance Review: Payment Integrity Information Act of 2019
May 2019
May 2018
Review of the U.S. Commodity Futures Trading Commission Purchase Card and Convenience Check Program
May 2018
October 2017
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
June 2016
May 2016
Audit of Commodity Futures Trading Commission Compliance with the Improper Payments Elimination and Recovery Improvement Act of 2012 March 2016
February 2016
OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program
June 2015
March 2015 OIG Risk Assessment of the CFTC Purchase Card and Convenience Check Program
April 2014
November 2014
- Inspections/Evaluations
- Investigations
- Administrative Investigative Reports
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Date Report September 2016
April 2016
Final Review of Space Utilization of the Washington, DC Office
January 2016
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
February 2014
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
April 2011
- Law and Economic Reports
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Date Report June 2017
A Review of the Cost-Benefit Consideration for the Margin Rule for Uncleared Swaps (Inspection/Evaluation)
- Peer Review Reports
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Date Report February 2022
August 2019
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
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
- Semiannual Reports
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Date Report March 2023 Semiannual Report to Congress, October 1, 2022 - March 31, 2023
September 2022 March 2022 September 2021 March 2021 September 2020
March 2020
September 2019
March 2019
September 2018
March 2018
September 2017
March 2017
September 2016
March 2016
September 2015
March 2015
September 2014
March 2014
September 2013
March 2013
September 2012
March 2012
September 2011
March 2011
September 2010
March 2010
September 2009
March 2009
September 2008
March 2008
September 2007
March 2007
September 2006
March 2006
September 2005
March 2005
September 2004
March 2004
September 2003
March 2003
September 2002
Semiannual Report to Congress, April 2002 – September 30, 2002
March 2002
September 2001
March 2001
September 2000
March 2000
- Whitepapers
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Date Report September 2018
Whitepaper: Expanding Customer Education Initiatives and
Transmittal Letter: Expanding Customer Education Initiatives
September 2017
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:
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