CFTC Oversight

GGD-92-28R: Published: Aug 26, 1992. Publicly Released: Aug 26, 1992.

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Pursuant to a congressional request, GAO reviewed the Commodity Futures Trading Commission's (CFTC) and self-regulatory organizations' (SRO) oversight of compliance with industry financial requirements by futures commission merchants. GAO found that: (1) CFTC and SRO have policies and procedures for monitoring compliance, which they followed in general; (2) SRO maintain watch lists of firms suspected of having financial problems, and have automated financial oversight systems to assist in monitoring member firms; and (3) CFTC and SRO audit reports and related workpapers adequately documented completion of all required audit procedures.

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