Our commitment
Fostering sustainability through governance
Corporate governance
TradeStation has long maintained a structured and robust governance process with a commitment to high ethical standards, disciplined risk management, strong internal controls, and accurate financial reporting that complies in all material respects with laws, rules and regulations applicable to us. Our Board of Directors is a mix of experienced and accomplished individuals who provide advice, insight, guidance, and oversight.
Our senior Management Team includes the President and Chief Executive Officer (CEO) and other senior executives responsible for finance, strategy, product development, human resources, marketing, legal, compliance, technology, brokerage operations, and education. The senior team develops the strategic plan, oversees its execution, implements risk and supervisory controls, and works to ensure a positive work environment for all employees.
Ownership
TradeStation Group, Inc. is a wholly owned subsidiary of Monex Group, Inc., one of Japan’s largest online financial services providers.
Board membership
Our seven-member board includes directors with a diversity of backgrounds, skills and experiences.
Management team
Our senior leaders responsible for areas including finance, internal audit, product development, human resources, marketing, technology, legal, compliance, enterprise risk management, cybersecurity and privacy, operations, and education.
“Our ESG program is consistent with our culture of continuous improvement and purposeful innovation. We are committed to growing this program and see such efforts as an important part of our business strategy, and we are strive to enhance the transparency and effectiveness of our efforts over time.”
John Bartleman
President & CEO, TradeStation Group
Sustainability & ESG oversight
ESG leadership starts at the top, with our CEO and Board of Directors setting and overseeing our long-term approach and strategy. The Board views ESG as an insightful part of business analysis, 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 that includes members from the data security, environment, human resources, legal, risk management, strategy and technology teams. 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 shape our ESG agenda and works to introduce goals and relevant Key Performance Indicators (KPIs) over time.
We welcome you to read more about our efforts within our key ESG focus areas: Workplace (DEI, culture, wellbeing, employee attraction and retention), Community (broadening our community outreach) and Environment (being mindful of our footprint). Our ESG focus and commitment harmonizes well with the high value we place on our customer service and safeguarding of customer privacy and personal data.
Risk management
We work hard to earn our customers’ trust, and our commitment to uphold high ethical and risk management standards and responsibilities permits us to build and maintain this trust. Our Ethics and Compliance Code of Conduct guides our ethical business practices and sets the tone for how our employees, officers, and directors should behave.
“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 and, more important, the only basis on which TradeStation wants to succeed. Our deep commitment to ethical operations and legal compliance shapes our interaction with customers and employees. We seek to build our operations around decency, integrity, honesty, and respect.”
Steve Patten
Chief Risk Officer, TradeStation Group
Cybersecurity and data privacy
Protecting our customers’ personally identifiable information, data, and assets is a top priority for TradeStation, which is why we strive to meet the highest standards for personal and data privacy and information security.
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 cyber, personal, and data security tools and controls to help us stay ahead of existing and evolving threats, including ongoing testing, identification and reporting, and regular security training for employees. The Chief Information Security Officer (CISO) provides direct oversight of cyber and data security risk with quarterly reports to the Enterprise Risk Committee and Board of Directors.
We have implemented various initiatives to keep up with increasingly sophisticated customer solutions as well as the continually evolving threat landscape posed by cyber criminals. These include the establishment of a new security office, the implementation of next generation technologies, and the expansion of two-factor authentication (2FA) across more of our products and services.
Other key cybersecurity, personal information and data privacy security measures include:
- Controls, Policies and Standards based on International Standards Organization and National Institute of Standards and Technology (NIST), including formal adoption in January 2023 of the NIST Cybersecurity Framework (NIST CSF)
- Safeguards including firewalls, managed detection and response, behavior anomaly detection and an incident management program
- An information security team led by our experienced CISO and privacy and data protection led by our Data Protection Officer
- Regular independent testing and auditing of our systems, controls and compliance with industry rules and regulations
- Regular compliance and information security and threat awareness training for all employees.
We follow a detailed internal privacy policy that is modelled after the strictest standards, including the European Union’s General Data Protection Regulation (GDPR) and the California Consumer Privacy Act (CCPA). The policy includes topics such as notice requirements, incident response readiness, data retention and processing, data impact assessments, and overall handling of personal identifiable information by employees and independent contractors. Regular privacy-related training is required.
For more information, access our public privacy policy here.
The customer connection
TradeStation employees work together in a high-performance culture with the goal of providing our customers with exceptional products and services. Creating an intimate customer connection is vital in helping drive our business forward and helping our customers enjoy the ultimate trading experience.
We therefore focus on enhancing and building our products and services for the customer, with the customer. In addition, through our multi-modality approach to investment education content, we are committed to creating a learning ecosystem for traders and investors to learn, interact and share with each other. Our goal is to deliver the ultimate trading experience to customers who are striving to master their skills and be better traders.
As our customer base continues to evolve, we maintain open lines of communication with them in a variety of formats, affording them the opportunity to provide feedback on our products and services. Feedback is a critical aspect of how we as a business adapt and grow to ever-changing customer demands, as well as to enhance customer satisfaction. For this reason, in 2022 we implemented the measurement of customer satisfaction through the Net Promoter Score (NPS), which is used along with additional channels through which we allow customers to provide feedback.
