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Strategic Framework

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The following table is an overview of the Commission's mission statement, strategic goals and objectives under the FY 2011-2015 strategic framework:

To protect market users and the public from fraud, manipulation, abusive practices and systemic risk
related to derivatives that are subject to the Commodity Exchange Act, and to foster open,
competitive, and financially sound markets.
Strategic Goal 1
Protect the public and market participants by ensuring market integrity, promoting transparency,
competition and fairness and lowering risk in the system.
1. Ensure that markets are structured to reflect the forces of supply and demand for the underlying commodity and are free from manipulation, disruptive activity and abusive trading practices.
2. Ensure that U.S. DCMs and SEFs have the systems, procedures and resources necessary for effective self-regulation and ongoing compliance with Core Principles.
3. Promote transparency by producing and publishing summary market statistics for the futures, options and swaps markets.
Strategic Goal 2
Protect the public and market participants by ensuring the financial integrity of derivatives transactions,
mitigation of systemic risk, and the fitness and soundness of intermediaries and other registrants.
1. Clearing organizations and firms participating in the derivatives industry are financially sound.
2. Registered intermediaries meet standards for fitness and conduct.
3. Ensure that self-regulatory organizations fulfill their financial surveillance responsibilities.
4. Ensure that information technology systems support the Commission's existing and expanded responsibilities to ensure financially sound markets, mitigate systemic risk, and monitor intermediaries.
Strategic Goal 3
Protect the public and market participants through a robust enforcement program.
1. Identify and stop violations of the Commodity Exchange Act and Regulations; deter others from engaging in future misconduct.
2. Increase cooperative enforcement.
Strategic Goal 4
Enhance integrity of U.S. markets by engaging in cross-border cooperation, promoting strong international
regulatory standards, and encouraging ongoing convergence of laws and regulation worldwide.
1. Cooperate and coordinate with domestic and foreign regulatory authorities.
2. Promote high levels of internationally accepted standards of best practice.
3. Provide Global Technical Assistance.
Strategic Goal 5
Promote Commission excellence through executive direction and leadership, organizational and
individual performance management, and effective management of resources.
1. An organizational structure that is aligned and streamlined to operate and carry out its mission efficiently and effectively.
2. Effectively respond to a the regulatory needs of a dynamic and complex derivatives market place and efficiently allocate limited resources to the highest priority activities.
3. Attract, engage, develop and retain an exceptionally qualified, diverse, and productive workforce.
4. Information Technology (IT) supports and enhances mission accomplishment through effective and efficient infrastructure, systems and services.
5. Ensure effective stewardship and management of CFTC financial resources.


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