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Webinar: Compliance Regulation 101: How to adapt to an ever-growing regulatory environment

A consolidated compliance process has become a necessary component to the success of virtually every organization’s compliance program. With the vast number of ever-changing and ever-growing regulations, it’s more important than ever to have a central repository for all your governance, risk, and compliance (GRC) processes. In doing so, this provides organizations with the added advantage of achieving a far more efficient and cost-effective compliance process that delivers greater confidence on the success of your compliance program. At TradeStation Securities, Inc. a global online broker-dealer and futures commission merchant, their goal was to consolidate their complicated compliance program that was siloed across multiple spreadsheets, internal tools and third-party programs so they could focus on their business’ strategic objectives.

In this webinar, Herbert Walton, Chief Risk and Compliance Officer at TradeStation Securities, will share his personal experience on how he optimized compliance management at his organization, including how to:

  • Establish a methodical approach to consolidating legacy systems that is easy to understand and implement
  • Develop a robust compliance management program that is easily monitored, maintained, and reportable
  • Utilize compliance maps to efficiently structure and maintain a strong compliance program
  • Leverage ACL technology to bridge multiple business units and deliver valuable insight to the Board and Senior Management
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