utm_source=taboola&utm_medium=referral
Skip to Content
Capital Markets Regulatory Experts
Who We Are
Overview
Purpose
Team
What We Do
Compliance Software
Firm Registration
Fractional Resources
Services List
Pricing
Learn More
Blog
Events
Reviews
FAQs
Portals
Contractor Portal
Customer Portal
Contact
Contact Us
Careers
Newsroom
Login Account
0
0
Capital Markets Regulatory Experts
Who We Are
Overview
Purpose
Team
What We Do
Compliance Software
Firm Registration
Fractional Resources
Services List
Pricing
Learn More
Blog
Events
Reviews
FAQs
Portals
Contractor Portal
Customer Portal
Contact
Contact Us
Careers
Newsroom
Login Account
0
0
Folder: Who We Are
Back
Overview
Purpose
Team
Folder: What We Do
Back
Compliance Software
Firm Registration
Fractional Resources
Services List
Pricing
Folder: Learn More
Back
Blog
Events
Reviews
FAQs
Folder: Portals
Back
Contractor Portal
Customer Portal
Folder: Contact
Back
Contact Us
Careers
Newsroom
Login Account
Crypto Scams and Social Media Schemes Top 2025 Threats: How Firms Can Stay Ahead of NASAA’s Investor Alerts
capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25 capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25

Crypto Scams and Social Media Schemes Top 2025 Threats: How Firms Can Stay Ahead of NASAA’s Investor Alerts

Read More
Robinhood's $1M-a-Day in Fines: Why Compliance Can No Longer Be an Afterthought
financial services, capital markets, broker dealer compliance, investment adviser compliance Jay Proffitt 3/11/25 financial services, capital markets, broker dealer compliance, investment adviser compliance Jay Proffitt 3/11/25

Robinhood's $1M-a-Day in Fines: Why Compliance Can No Longer Be an Afterthought

Read More
The Journey Begins…
financial services, capital markets, digital assets, digital securities, broker dealer compliance Jay Proffitt 2/5/25 financial services, capital markets, digital assets, digital securities, broker dealer compliance Jay Proffitt 2/5/25

The Journey Begins…

Read More
Navigating the Evolving Crypto Landscape: What GiGCXOs Can Do for Your Compliance Needs
digital securities, RWA, digital assets, capital markets, financial services, fintech, financialregulations Jay Proffitt 1/24/25 digital securities, RWA, digital assets, capital markets, financial services, fintech, financialregulations Jay Proffitt 1/24/25

Navigating the Evolving Crypto Landscape: What GiGCXOs Can Do for Your Compliance Needs

Read More
Cybersecurity in 2025: Lessons from Bayview Asset Management and the Role of CyberGuard360™
cybersecurity, capital markets, financial services Jay Proffitt 1/14/25 cybersecurity, capital markets, financial services Jay Proffitt 1/14/25

Cybersecurity in 2025: Lessons from Bayview Asset Management and the Role of CyberGuard360™

Read More
Kicking Off 2025: Anticipated Trends in Capital Markets and Regulatory Changes
capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25 capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25

Kicking Off 2025: Anticipated Trends in Capital Markets and Regulatory Changes

Read More
Avoiding Costly Supervision Failures: How GiGCXOs’ AICompliance360™ Protects Firms
capital markets, regtech, outsource compliance, financial services Jay Proffitt 12/13/24 capital markets, regtech, outsource compliance, financial services Jay Proffitt 12/13/24

Avoiding Costly Supervision Failures: How GiGCXOs’ AICompliance360™ Protects Firms

Read More
Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers
capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24 capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24

Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers

Read More
Navigating the New Reg S-P Amendments with CyberGuard360™
SEC, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, adviser compliance, capital markets, financial services Jay Proffitt 11/27/24 SEC, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, adviser compliance, capital markets, financial services Jay Proffitt 11/27/24

Navigating the New Reg S-P Amendments with CyberGuard360™

Read More
Navigating the Labyrinth: Understanding the Complex World of Securities Exchange Reporting
market data, capital markets, financial services Jay Proffitt 11/6/24 market data, capital markets, financial services Jay Proffitt 11/6/24

Navigating the Labyrinth: Understanding the Complex World of Securities Exchange Reporting

Read More
Preventing Fines with AICompliance360™: A Smarter Approach to Compliance.
financial services, capital markets, FINRA, SEC, cybersecurity Jay Proffitt 10/14/24 financial services, capital markets, FINRA, SEC, cybersecurity Jay Proffitt 10/14/24

Preventing Fines with AICompliance360™: A Smarter Approach to Compliance.

Read More
Prevent Fines with GiGCXO's FiduciaryGuard360™: Your Essential Compliance Solution
financial services, fiduciary duty, reg bi, form crs, finra, outsource broker dealer resources, outsource compliance, investment adviser compliance Jay Proffitt 9/26/24 financial services, fiduciary duty, reg bi, form crs, finra, outsource broker dealer resources, outsource compliance, investment adviser compliance Jay Proffitt 9/26/24

Prevent Fines with GiGCXO's FiduciaryGuard360™: Your Essential Compliance Solution

Read More
Older Posts

Download a free fractional consulting checklist.

Thank you! We hope that you have a great day.

We are industry leaders in Compliance as a Service (CaaS) and Operators as a Service (OaaS) for small to medium sized Broker Dealers and Investment Advisers.

info@gigcxos.com

Brochure
AICompliance360
Adviser In A Box
CXO FlexForce
Broker Dealer In A Box
Pricing
FuturesCompli360
Schedule a Demo
Third Party Audits
Services
Our People
Our Beliefs
Careers
Customer Reviews
Newsroom
FAQs
Blog
Events
Contractor Portal
ComplianceCentral360
Diversity & Inclusion Pledge
Environmental & Sustainability Pledge
Social Impact Pledge
Legal 
* FinOp (Series 27/28) and accounting services provided by industry leader and third party firm, ACI.
^ AICompliance360 is powered by the Hadrius AI Platform.  AUM is the aggregate amount across all firms using the Hadrius technology.
©2024 GiGCXOs. All rights reserved. The content, design, graphics, and other materials on this website are the property of GiGCXOs and are protected by copyright, trademark, and other intellectual property laws. Unauthorized use, reproduction, distribution, or modification of any material from this site without prior written permission from GiGCXOs is strictly prohibited. All trademarks, service marks, and logos used on this site are the trademarks of their respective owners. Any unauthorized use of these trademarks is prohibited. 
The information provided on this website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities. Nothing on this site should be interpreted as a recommendation to invest, an endorsement of any particular investment, or a solicitation to engage in any investment activity. GiGCXOs does not provide investment advice, and any decisions to buy, sell, or hold securities should be made based on your own due diligence and in consultation with a qualified financial advisor.