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) overseen by the Office of Audits. Additionally, the audit team began work on the following audits: FY 2024 CFTC Financial Statements; FY 2024 CFTC Customer Protection Fund Financial Statements; CFTC’s Compliance with the Government Charge Card Act; and CFTC’s Enterprise Risk Management Program. The audit team is also working with the Council of Inspectors General on Financial Oversight (CIGFO) in its review of the effectiveness and internal operations of the Financial Stability Oversight Council (FSOC) designation of nonbank financial companies. In addition, we established the Office Evaluations and initiated an evaluation into the CFTC’s non-disclosure policies, forms, and agreements to assess compliance with the Whistleblower Protection Enhancement Act of 2012.