capital markets, registered investment adviser, exempt reporting adviser, adviser compliance, internet investment adviser, SEC adviser consulting Jay Proffitt 10/28/24 capital markets, registered investment adviser, exempt reporting adviser, adviser compliance, internet investment adviser, SEC adviser consulting Jay Proffitt 10/28/24

How GiGCXOs’ Software and People Solutions Save Independent Advisers Thousands Annually

Read More

financial services, capital markets, FINRA, SEC, cybersecurity Jay Proffitt 10/14/24 financial services, capital markets, FINRA, SEC, cybersecurity Jay Proffitt 10/14/24

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

Read More

fiduciary duty, reg bi, form crs, FINRA, investment adviser compliance Jay Proffitt 9/28/24 fiduciary duty, reg bi, form crs, FINRA, investment adviser compliance Jay Proffitt 9/28/24

Prevent Fines and Build Client Trust with GiGCXO's FiduciaryGuard360™

Read More

capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24 capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24

SEC's Latest Crackdown on Electronic Communications Compliance Lapses.

Read More

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

Read More

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

Read More

fractional consulting, SEC adviser consulting, consulting, outsource broker dealer resources, investment adviser compliance, outsource compliance, adviser compliance, capital markets Jay Proffitt 9/4/24 fractional consulting, SEC adviser consulting, consulting, outsource broker dealer resources, investment adviser compliance, outsource compliance, adviser compliance, capital markets Jay Proffitt 9/4/24

Introducing the GiGCXOs Contractor Portal: Empowering Our Community of Independent Consultants

Read More

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

Read More

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.

Read More

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

Read More