Our Sustainability & ESG program is
consistent with our culture of continuous improvement and purposeful innovation. We are committed to
growing our program and see these efforts as an important part of our business strategy and we are
excited to become more
transparent on these efforts over time.
John Bartleman
President, TradeStation Group
Sustainability & ESG Oversight
Sustainability & Environmental, Social, Governance (ESG) leadership starts with our CEO and Board of
Directors overseeing our long-term approach and strategy. The Board views ESG as an insightful part of
business analysis and a way to create value for our stakeholders and a lens to help improve business
resiliency.
Our ESG Working Group is a cross-functional team of senior leaders including those from the data security,
environment, human resources, legal, risk management, and strategy departments. Chaired by TradeStation
Group’s Chief Strategic Officer, who is also a member of the Board of Directors and a board member of
TradeStation Group’s operating subsidiaries, the Working Group helps define our ESG agenda and will
work to introduce goals and relevant key performance indicators (KPIs) over time.
We welcome you to click through this site to read more about our efforts within our key ESG focus areas:
Workplace (DEI, culture, employee attraction and retention), Community (broadening our community outreach)
and Environment (being mindful of our footprint). This is underpinned by our customer service focus and
safeguarding customer data.
Risk Management
We maintain a disciplined Enterprise Risk Management (ERM) program, which includes a formal ERM framework and
key risk indicators (KRIs) to monitor risks. The Group Chief Risk Officer, who gives reports directly to the
President and periodically to the Board of Directors, leads an Enterprise Risk Committee that oversees all
risk aspects of the company and meets quarterly. In addition to the group level Committee, each core
TradeStation subsidiary has its own board and risk governance structure and monitors more granular-level
risks specific to these subsidiaries.
We work hard to earn our customers’ trust, and it is through our upholding the highest standards and
responsibility that allows us to build and maintain this trust. Our Code of Business Conduct and Ethics
guide our ethical business practices and set the tone for employee, officer and director behavior.
We are driven by the belief that
upholding our responsibilities and high ethical standards are not optional – it is the only way to
succeed in business today. Our deep commitment to ethical operations and legal compliance shapes every
interaction with our customers and employees. We build our operations around decency, integrity, and
respect.
Steve Patten
Chief Risk
Officer, TradeStation Group, Inc.
Cybersecurity and Data Privacy
Cybersecurity is a top consideration in our increasingly technology-dependent world, and our customers expect us to
keep their information safe and secure, in order to also help ensure continuity in our operations. We apply a
disciplined risk management approach based on leading industry standards and best practices, prioritizing our
investments and resources to protect our most critical assets and sensitive data. We have multiple levels of
cybersecurity tools and controls to help us stay ahead of threats including ongoing testing, identification and
reporting. The Chief Information Security Officer (CISO) provides direct oversight of cybersecurity risk with
quarterly reports to the Enterprise Risk
Committee and Board of Directors.
Our key cybersecurity and data privacy security measures include:
Controls, Policies and Standards based on International Standards Organization and National Institute of Standards
and Technology
Safeguards including firewalls, managed detection and response, behavior anomaly detection and incident management
program
Information security team led by our experienced CISO and our dedicated Data Protection Officer
Regular third-party testing of our systems
Employees are required to complete compliance and information security and threat awareness training each year.
The Customer Connection
TradeStation employees work together in a high-performance culture with the goal of providing our customers with
exceptional products and services. We focus on continuous improvement and innovation of the products and services we
provide our customers. In addition, through our
investment education content and analytical tools, we aim to create an ecosystem for traders, investors and anyone
looking to gain access to capital or cryptocurrency markets and strive for better. Our goal is to help everyone to
claim their financial edge, no matter their background or prior experience.
As our customer base continues to evolve, we have open lines of communication with them in a variety of formats. As
we receive feedback, we have a process for evaluating and making needed changes in order to improve the customer
experience.
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