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Objective 3.2

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Objective 3.2
Increase cooperative enforcement.

The Commission will refer matters that may involve misconduct within the civil or criminal jurisdiction of its domestic counterparts, for their investigation and potential civil or criminal prosecution.

In addition, the CFTC works extensively with foreign authorities to sustain and encourage cooperative relationships in nations with both developed and emerging markets. The Commission’s strategies to enhance international enforcement efforts are outlined in Goal 4.

Strategy 3.2.1 Leverage resources through active cooperative enforcement with domestic entities.

The CFTC strives to cooperate with SROs, other Federal agencies, state governmental agencies, and law enforcement entities to gain information for law enforcement purposes, coordinate prosecutions, share technical expertise, provide enforcement assistance, and share vital information concerning markets, intermediaries, and regulatory structure.

Performance Measure Percentage of CFTC case filings that include
referrals to domestic civil and criminal cooperative authorities.
FY 2011 60%
FY 2012 65%
FY 2013 70%
FY 2014 75%
FY 2015 75%


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