Preventing Fines with CommSafe360

Jay Proffitt 8/21/24 Jay Proffitt 8/21/24

How GiGCXOs AI Consultants Can Prevent FINRA Fines for Supervision Failures

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

(512)-537-0425

AICompliance360

Adviser In A Box

CXO FlexForce

Broker Dealer In A Box

Pricing

Third Party Audits

Customer Reviews

Our People

Our Beliefs

Careers

Events

FAQs

Blog

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.