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Broker Dealer and Investment Adviser Regulatory Experts
Who We Are
Overview
Beliefs
Experts
What We Do
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Behavioral Analysis
Broker Dealer Registration
Crowdfunding Portal Registration
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GiGCXOs’ CommSafe360™: Empowering Firms to Stay Ahead of Rising Social Media Compliance Risks
capital markets, investment adviser, broker dealer, electronic communications Jay Proffitt 10/25/24 capital markets, investment adviser, broker dealer, electronic communications Jay Proffitt 10/25/24

GiGCXOs’ CommSafe360™: Empowering Firms to Stay Ahead of Rising Social Media Compliance Risks

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Exciting Partnership Announcement: GiGCXOs Teams Up with Hadrius to Revolutionize Compliance Management.
broker-dealer, investment adviser, capital markets Jay Proffitt 8/28/24 broker-dealer, investment adviser, capital markets Jay Proffitt 8/28/24

Exciting Partnership Announcement: GiGCXOs Teams Up with Hadrius to Revolutionize Compliance Management.

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How AI Technology Can Help Broker-Dealers and Advisers Prevent Costly Fines: A Lesson from Toronto-Dominion's $3 Billion Compliance Lapse
broker-dealer, investment adviser, broker dealer compliance, investment adviser compliance, AML Jay Proffitt 8/22/24 broker-dealer, investment adviser, broker dealer compliance, investment adviser compliance, AML Jay Proffitt 8/22/24

How AI Technology Can Help Broker-Dealers and Advisers Prevent Costly Fines: A Lesson from Toronto-Dominion's $3 Billion Compliance Lapse

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How GiGCXOs Can Help RIAs Avoid Fines for Misleading Communications
investment adviser compliance, investment adviser, RIA, registered investment adviser, exempt reporting adviser, FINRA, SEC, SEC adviser consulting, capital markets Jay Proffitt 8/21/24 investment adviser compliance, investment adviser, RIA, registered investment adviser, exempt reporting adviser, FINRA, SEC, SEC adviser consulting, capital markets Jay Proffitt 8/21/24

How GiGCXOs Can Help RIAs Avoid Fines for Misleading Communications

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^ AICompliance360 is powered by the Hadrius AI Platform.  AUM is the aggregate amount across all firms using the Hadrius technology.
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