Jay Proffitt 10/14/24 Jay Proffitt 10/14/24

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

Jay Proffitt 8/22/24 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

Jay Proffitt 8/17/24 Jay Proffitt 8/17/24

Leveraging AI for Compliance: How GiGCXOs Can Help You Stay Ahead

Leveraging AI for Broker-Dealer and Investment Adviser Compliance: How GiGCXOs Can Help You Stay Ahead

Jay Proffitt 8/15/24 Jay Proffitt 8/15/24

FinCEN Proposes Major Updates to AML Rules

Is your firm ready for the new proposed AML rules?

Jay Proffitt 8/11/24 Jay Proffitt 8/11/24

Ensuring Regulatory Excellence: No How GiGCXOs Audits Broker-Dealers and Advisers

At gigCXOs, we understand the critical importance of maintaining compliance and mitigating risk within broker-dealers and Registered Investment Advisers (RIAs). Our comprehensive audit services are designed to ensure that our clients not only meet but exceed regulatory expectations. Below is an in-depth look at the various audits we perform to safeguard your operations and enhance your compliance posture.