Commodity Futures Trading Commission OIG

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...

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)...

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...

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...

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...

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...

This plan identifies and prioritizes issues, workload management and resources for FY 2025. It identifies our mandated and discretionaryengagements for FY 2025 as well as our continuing projects from FY 2024. Successful execution of this plan will enable the OIG toprovide high quality work products...

This review consisted of an examination of the office’s I&E policy as the CFTC OIG did not issue any I&E reports during the period under review. The AmeriCorps OIG identified instances in which the I&E policy was inconsistent with the updated Council of the Inspectors General on Integrity and...