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Broker Dealer and Investment Adviser Regulatory Experts
Who We Are
Overview
Beliefs
Experts
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3rd Party Audits
Adviser Registration & Compliance
Broker Dealer Registration & Compliance
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Gensler set to resign in January 2025. What does this mean for the industry?
capital markets, FINRA, SEC, broker dealer compliance Jay Proffitt 11/22/24 capital markets, FINRA, SEC, broker dealer compliance Jay Proffitt 11/22/24

Gensler set to resign in January 2025. What does this mean for the industry?

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Jay Proffitt Joins the National Society of Compliance Professionals (NSCP) as GiGCXOs Takes a Stand for Elevated Compliance Standards
capital markets, memberships, nscp, investment adviser compliance, broker dealer compliance Jay Proffitt 11/11/24 capital markets, memberships, nscp, investment adviser compliance, broker dealer compliance Jay Proffitt 11/11/24

Jay Proffitt Joins the National Society of Compliance Professionals (NSCP) as GiGCXOs Takes a Stand for Elevated Compliance Standards

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GiGCXOs Launches ComplianceCentral360™ to Centralize Compliance Resources for Firms.
broker dealer compliance, investment adviser compliance, capital markets, compliance as a service Jay Proffitt 10/7/24 broker dealer compliance, investment adviser compliance, capital markets, compliance as a service Jay Proffitt 10/7/24

GiGCXOs Launches ComplianceCentral360™ to Centralize Compliance Resources for Firms.

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GiGCXOs welcomes Bill Hoover as a new Senior Independent Consultant.
compliance as a service, fractional executive services, broker dealer compliance, investment adviser compliance Jay Proffitt 9/30/24 compliance as a service, fractional executive services, broker dealer compliance, investment adviser compliance Jay Proffitt 9/30/24

GiGCXOs welcomes Bill Hoover as a new Senior Independent Consultant.

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