broker dealer, registered investment adviser, capital markets, financial services Jay Proffitt 4/2/25 broker dealer, registered investment adviser, capital markets, financial services Jay Proffitt 4/2/25 FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures Read More capital markets, private securities, Reg D 506 b, Reg D 506 c, Form D Jay Proffitt 2/21/25 capital markets, private securities, Reg D 506 b, Reg D 506 c, Form D Jay Proffitt 2/21/25 New Hampshire’s Crackdown on Private Placements: Why Broker-Dealers Need GiGCXOs’ PrivatePlacementAudit360™ Read More 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 Read More
broker dealer, registered investment adviser, capital markets, financial services Jay Proffitt 4/2/25 broker dealer, registered investment adviser, capital markets, financial services Jay Proffitt 4/2/25 FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures Read More
capital markets, private securities, Reg D 506 b, Reg D 506 c, Form D Jay Proffitt 2/21/25 capital markets, private securities, Reg D 506 b, Reg D 506 c, Form D Jay Proffitt 2/21/25 New Hampshire’s Crackdown on Private Placements: Why Broker-Dealers Need GiGCXOs’ PrivatePlacementAudit360™ Read More
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 Read More