Protect Your Firm with FiduciaryGuard360™

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Written By Jay Proffitt

Recent SEC actions, including a $151 million penalty against JPMorgan, stress the importance of rigorous fiduciary compliance. From 2017 to 2024, JPMorgan allegedly failed to disclose incentives for advisors to recommend its proprietary Portfolio Management Program, leading to a $45 million penalty under the Advisers Act.

GiGCXOs’ FiduciaryGuard360™ is specifically designed to prevent such compliance lapses. This powerful platform offers:

  • Real-Time Disclosure Monitoring: Tracks and reviews all client disclosures for accuracy and regulatory alignment.

  • Conflict of Interest Management: Identifies and mitigates potential conflicts, ensuring advisors act in clients' best interests.

  • Fee Transparency: Monitors and verifies that all fees are clearly disclosed, supporting client trust and compliance.

  • Comprehensive Reporting: Provides reports that streamline regulatory filings and meet SEC requirements.

With FiduciaryGuard360™, firms can maintain high fiduciary standards, build trust, and prevent costly regulatory actions. GiGCXOs empowers your firm to stay compliant with a solution that combines expert oversight with cutting-edge technology.

Explore FiduciaryGuard360™ to protect your firm and elevate your fiduciary compliance.

Jay Proffitt https://gigcxos.com
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