How LPL Financial Modernized Daily Regulatory Calculations

In financial services, finance and treasury teams are under pressure to deliver regulatory calculations faster, with no margin for error.

New SEC Rule 15c3-3 requirements are accelerating that shift, moving firms from periodic reporting to daily precision. But legacy systems and manual workflows weren’t built for that pace.

LPL Financial faced this head on. A critical regulatory process that once took 48 hours each week had to run daily — with stronger controls, cleaner outputs, and full auditability.

In this live session, you’ll see how LPL Financial modernized that process and transformed it into a streamlined, three-hour workflow:

• Reducing a 48-hour weekly process to a 3-hour daily workflow
• Automating complex data parsing across multiple sources
• Rebuilding calculation logic into transparent, auditable workflows
• Delivering clean, trusted outputs to treasury, without a $2M IT build
• Returning $20M+ to the balance sheet through improved precision

It’s an inside look at how financial institutions can modernize operations without large, costly IT rebuilds. Explore more about this regulatory reporting use case in the solution brief.