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## Main navigation

-  About the CFTC     -  The Commission 
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# 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 2024**Modified Peer Review Report of the Inspection & Evaluation Function

**July 2024** 2024 Annual Report of the Council of the Inspectors General on Financial Oversight

**July 2024** CFTC’s Compliance with the Payment Integrity Information Act of 2019 for FY 2023

**June 2024** Audit Peer Review Report on the CFTC OIG for Period Ending March 2022

**May 2024** Semiannual Report to Congress October 1, 2023 – March 31, 2024 and CFTC Transmittal Memo

**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

                  - Inspector General Strategic and Work Plans
                  -  **Date****Report**
**February 2024**

CFTC OIG FY 2024 Work Plan

**February 2024 **

CFTC OIG Strategic Plan for FY 2024 - FY 2028
 
                  - Assessments of the Most Serious Management Challenges Facing the CFTC
                  -  DateReport**November 2023**Management Challenges – Fiscal Year 2023CFTC 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 2024**2024 Annual Report of the Council of the Inspectors General on Financial Oversight
**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
                  -  DateReport**November 2023**CFTC Financial Statements Audit: Fiscal Year (FY) 2023**October 2023**CPF Audit Opinion and Financial Statements FY 2023CFTC Transmittal Memo**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
                  -  DateReport**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
                  -  DateReportJuly 2024CFTC’s Compliance with the Payment Integrity Information Act of 2019 for FY 2023**May 2024**Fiscal Year 2023 Audit of CFTC’s Compliance with the Implementation of the Federal Information Security Modernization Act of 2014
**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
                  -  DateReport
**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**

Removal Notice for CFTC OIG Inspection & Evaluation, CFTC Stress-Testing Development Efforts (February 1, 2024)

NERA Review of CFTC DCR Stress Testing Programs

**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
                  -  DateReport
**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
                  -  DateReport
**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
                  -  DateReport
**June 2017**

A Review of the Cost-Benefit Consideration for the Margin Rule for Uncleared Swaps (Inspection/Evaluation)
 
                  - Peer Review Reports
                  -  **Date****Report****August 2024**Modified Peer Review Report of the Inspection & Evaluation Function**June 2024**Audit Peer Review Report on the CFTC OIG for Period Ending March 2022
**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
                  -  DateReport**May 2024**Semiannual Report to Congress October 1, 2023 – March 31, 2024CFTC Transmittal Memo
**September  2023**

Seminannual Report to Congress April 1, 2023 - September 30, 2023

CFTC Transmittal Memo
**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
                  -  DateReport
**September 2018**

Whitepaper: Expanding Customer Education Initiatives and

Transmittal Letter: Expanding Customer Education Initiatives

**September 2017**

Lean Labor: A Case Study -- Whitepaper