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期貨和衍生品行業監管動態
全。
CFTC 正在啟動一項覆蓋 2020 年 1 月 1 日至今的內部審查。審查范圍將包
括互聯網協議活動、醫療和困難便利措施的核實、與外部就業相關的禁令和利益
沖突、以及對時間和出勤記錄的審計等領域。此次審查屬于行政性質，適用于所
有在職的全職員工（FTEs）。此項舉措對于恢復和維持公眾信心以及確保對公
共資源的妥善管理至關重要。
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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