
United States
CFTC’s Compliance with the Payment Integrity Information Act of 2019 (PIIA) for FY24
Summary of Investigation into Allegations of Telework Violations by CFTC Risk Analyst
Audit of CFTC's Compliance with the Government Charge Card Abuse Prevention Act
We contracted with the Joachim Group CPAs & Consultants (Joachim Group) to examine the management of government issued purchase and travel cards. The Joachim Group conducted the audit in accordance with Generally Accepted Government Auditing Standards (GAGAS) and is responsible for the attached...
FY 2024 CFTC's Progress with Enterprise Risk Management Program
We contracted with Williams, Adley & Company-DC, LLP (Williams Adley) to examine the effectiveness of the CFTC’s ERM process as well as its maturity. Williams Adley conducted the audit in accordance with Generally Accepted Government Auditing Standards (GAGAS) and is responsible for the attached...
Seminannual Report to Congress April 1, 2024 - September 30, 2024
During the reporting period, the Office of Audits completed and published the Fiscal Year (FY) 2023 and FY 2024 Federal Information Security Modernization Act (FISMA) audits and the Payment Integrity Information Act audit; the latter two were completed by independent public accountants (IPAs)...
CFTC Financial Statement Audit Report FY 2024
The CFTC OIG contracted with the independent public accounting firm of Williams, Adley & Company, LLP (Williams Adley) to audit the financial statements of CFTC as of and for the fiscal years ended September 30, 2023, and 2024, to provide a report on internal control over financial reporting, report...
Customer Protection Fund Audit Opinion FY 2024
The CFTC OIG contracted with the independent public accounting firm of Williams, Adley & Company, LLP (Williams Adley) to audit the financial statements of the CFTC Customer Protection Fund (CPF) as of and for the fiscal years ended September 30, 2023, and 2024, to provide a report on internal...
CFTC Management and Performance Challenges FY25
We identified the Commission’s major management and performance challenges by recognizing and assessing key themes from OIG audits, evaluations, hotline complaints, investigations, and an internal risk assessment, as well as reports published by external oversight bodies, such as the Office of...
Fiscal Year 2024 Audit of the U.S. Commodity Futures Trading Commission Compliance with the Federal Information Security Modernization Act of 2014 for Fiscal Year 2024
FISMA requires each Inspector General to conduct an annual independent evaluation of their agency’s information security program, practices, and controls for select systems. The Office of Management and Budget’s (OMB) FY 2023–2024 Inspector General Federal Information Security Modernization Act of...