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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

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Robo-Advisor Faces Backlash Over Controversial Ads: How AICompliance360™ Prevents Marketing Compliance Risks
capital markets, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, outsource broker dealer resources, adviser compliance Jay Proffitt 3/10/25 capital markets, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, outsource broker dealer resources, adviser compliance Jay Proffitt 3/10/25

Robo-Advisor Faces Backlash Over Controversial Ads: How AICompliance360™ Prevents Marketing Compliance Risks

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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

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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

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Navigating the SEC’s 2025 Exam Priorities with GiGCXOs’ Comprehensive Solutions
broker dealer compliance, investment adviser compliance, capital markets, SEC Jay Proffitt 10/22/24 broker dealer compliance, investment adviser compliance, capital markets, SEC Jay Proffitt 10/22/24

Navigating the SEC’s 2025 Exam Priorities with GiGCXOs’ Comprehensive Solutions

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Preventing Fines with CommSafe360
FINRA 2210, broker dealer compliance, investment adviser compliance, electronic communications, archiving communications, 17a-4, reg tech Jay Proffitt 9/15/24 FINRA 2210, broker dealer compliance, investment adviser compliance, electronic communications, archiving communications, 17a-4, reg tech Jay Proffitt 9/15/24

Preventing Fines with CommSafe360

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Prevent Fines with AICompliance360™: GiGCXOs’ AI-Powered Compliance Solution
compliance as a service, operators as a service, communications with the public, broker dealer compliance, investment adviser compliance, financial services, capital markets Jay Proffitt 9/10/24 compliance as a service, operators as a service, communications with the public, broker dealer compliance, investment adviser compliance, financial services, capital markets Jay Proffitt 9/10/24

Prevent Fines with AICompliance360™: GiGCXOs’ AI-Powered Compliance Solution

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How GiGCXOs' AI-Driven Compliance Software Can Help Broker-Dealers and Investment Advisers Avoid Fines for Misleading Advertisements
saas, caas, raas, capital markets, broker dealer compliance, investment adviser compliance, exempt reporting adviser, internet investment adviser Jay Proffitt 9/6/24 saas, caas, raas, capital markets, broker dealer compliance, investment adviser compliance, exempt reporting adviser, internet investment adviser Jay Proffitt 9/6/24

How GiGCXOs' AI-Driven Compliance Software Can Help Broker-Dealers and Investment Advisers Avoid Fines for Misleading Advertisements

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GiGCXOs Welcomes Steve Maiello as an Independent Consultant
financial services, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, investment adviser compliance, capital markets Jay Proffitt 9/5/24 financial services, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, investment adviser compliance, capital markets Jay Proffitt 9/5/24

GiGCXOs Welcomes Steve Maiello as an Independent Consultant

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Welcome, Steve Manning: A New Independent Consultant Joins GiGCXOs' Expert Team
outsource compliance, broker dealer compliance, investment adviser compliance, FINRA, SEC, capital markets Jay Proffitt 9/3/24 outsource compliance, broker dealer compliance, investment adviser compliance, FINRA, SEC, capital markets Jay Proffitt 9/3/24

Welcome, Steve Manning: A New Independent Consultant Joins GiGCXOs' Expert Team

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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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