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
FinCEN Proposes Major Updates to AML Rules
Is your firm ready for the new proposed AML rules?
To Buy or Build? Weighing the Pros and Cons of Acquiring a Broker-Dealer vs. Starting One from Scratch
The decision to operate a broker-dealer is a significant step for any financial professional or firm. It offers control, flexibility, and potentially lucrative opportunities, but it also comes with a set of challenges. One of the first and most critical decisions you’ll face is whether to buy an existing broker-dealer or to start one from scratch.
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.
