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期货和衍生品行业监管动态

全。

CFTC 正在启动一项覆盖 2020 年 1 月 1 日至今的内部审查。审查范围将包

括互联网协议活动、医疗和困难便利措施的核实、与外部就业相关的禁令和利益

冲突、以及对时间和出勤记录的审计等领域。此次审查属于行政性质，适用于所

有在职的全职员工（FTEs）。此项举措对于恢复和维持公众信心以及确保对公

共资源的妥善管理至关重要。

CFTC Conducting Review of Time & Attendance Compliance Amid OIG Report,

Congressional Inquiry (2025/8/15)

Commodity Futures Trading Commission Acting Chairman Caroline D. Pham

today announced the CFTC is conducting an internal review of staff compliance with

time and attendance requirements following a recent Inspector General report and

Congressional inquiry.

“As I said in April, I am disturbed by the accounts of serious misconduct

outlined in the Inspector General’s report, and the CFTC will fully respond to

the Congressional inquiry to provide the transparency and accountability expected of

a federal agency,” Acting Chairman Pham said. “As such, the CFTC is conducting a

comprehensive internal review of staff time and attendance, including compliance

with telework, return-to-office and reasonable accommodation requirements, in order

to identify violations and fraud, waste and abuse. The CFTC is committed to taking

necessary corrective actions, and we owe it to the public to uncover the extent to

which the American taxpayers were defrauded.”

In April 2025, the CFTC’s Office of Inspector General completed an

investigation into telework violations by a CFTC risk analyst who was also the

president of the CFTC’s employee union, and substantiated various allegations of

misconduct, including timekeeping misconduct, false or misleading statements under

oath, administrative leave violations, and prohibited political activity under the Hatch

Act. An inquiry by the Senate Judiciary Committee also raised concerns that the

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