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Broker Dealer and Investment Adviser Regulatory Experts
Who We Are
Overview
Beliefs
Experts
What We Do
Adviser Registration
Behavioral Analysis
Broker Dealer Registration
Crowdfunding Portal Registration
Fractional Resources
Electronic Communications Review and Archive
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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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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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Leveraging AI for Compliance: How GiGCXOs Can Help You Stay Ahead
adviser compliance, investment adviser compliance, broker dealer compliance, financial services, capital markets Jay Proffitt 8/17/24 adviser compliance, investment adviser compliance, broker dealer compliance, financial services, capital markets 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

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FinCEN Proposes Major Updates to AML Rules
anti money laundring, AML, AML audits, KYC, CDD, CIP, broker dealer compliance, adviser compliance, capital markets Jay Proffitt 8/15/24 anti money laundring, AML, AML audits, KYC, CDD, CIP, broker dealer compliance, adviser compliance, capital markets Jay Proffitt 8/15/24

FinCEN Proposes Major Updates to AML Rules

Is your firm ready for the new proposed AML rules?

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