AICompliance360™

Code of Ethics and Conflicts of Interest

1. GiGCXOs provides expert compliance services tailored to help firms effectively manage their Code of Ethics and Conflicts of Interest

2. Our solutions ensure that firms uphold high ethical standards, mitigate potential conflicts, and enforce robust personal conduct.

3. Through automated monitoring, reporting, and customized guidance, we help broker-dealers and RIAs navigate complex compliance areas while maintaining transparency and accountability across their operations.

Compliance Program Management

• Building an SEC/FINRA comprehensive compliance program that thorough to ensure that Broker-Dealers and Investment Advisers comply with all relevant SEC/FINRA rules and regulations and other applicable laws and standards.

Continuing Education and Training

• GiGCXOs offers a full range of continuing education services to ensure your team stays compliant and informed.

• Our tailored programs include Anti-Money Laundering (AML) training, investment adviser continuing education, and other specialized regulatory courses designed to meet FINRA and SEC requirements.

• Through ongoing education, we help firms maintain a high level of regulatory awareness, reduce compliance risks, and foster a culture of best practices.

• With GiGCXOs, your staff will stay up-to-date with the latest regulatory changes and industry standards.

Disclosure Management

• GiGCXOs offers a comprehensive disclosure tracking and management solution to ensure that broker-dealers and investment advisers stay compliant with all SEC and FINRA disclosure requirements.

• Our AI-driven platform automates the monitoring, filing, and updating of essential disclosures, helping firms avoid missed deadlines, inconsistencies, and potential regulatory penalties.

• With GiGCXOs, you can efficiently manage conflicts of interest and ensure that all client-facing communications and documents meet compliance standards, streamlining your regulatory processes.

Gift and Entertainment Tracking

• GiGCXOs offers comprehensive gift and entertainment compliance tracking, ensuring broker-dealers meet all FINRA regulations.

• Our automated solution monitors gifts and entertainment expenses, providing real-time reporting and ensuring transparency to prevent conflicts of interest.

• With GiGCXOs, you can maintain a clear record of all activities, stay compliant with regulatory thresholds, and protect your firm from potential violations.

• Simplify the management of your firm’s gift and entertainment policies with GiGCXOs’ trusted tracking services.

Communications Review and Archiving 

• Another critical area of compliance is the review of electronic communications, including emails, chat logs, and social media interactions.AI solutions can monitor these communications, flagging anything that might be considered a regulatory breach with much better accuracy than existing technologies.

Marketing Review and Archiving

• AI-powered tools can automate the review process, scanning content for compliance issues in real time. These tools can identify language that might be considered misleading or unapproved by regulators, flagging it for review before it reaches the public.

• This not only speeds up the approval process but also significantly reduces the risk of non-compliance, protecting your firm from potential fines and reputational damage.

• Monthly fee includes up to five (5) marketing reviews each month. Each additional individual marketing review is $150 per item.

• Note: Each webpage counts as an item when performing website marketing reviews. For example, a Company website with five html pages would incur a marketing review based on each html page. Each html page counts as an individual marketing review item.

Outside Brokerage Accounts

• GiGCXOs offers a seamless solution for monitoring outside brokerage accounts through its software platform, integrated with Plaid.

• This modern, paperless system eliminates the need for manual letters and documentation, automating the tracking and reporting of employee brokerage accounts.

• With real-time data access and comprehensive monitoring, firms can ensure compliance with regulatory requirements and stay on top of personal trading activities efficiently.

• Say goodbye to paperwork and streamline your compliance processes with GiGCXOs' integrated monitoring solution.

Outside Business Activities

• GiGCXOs provides a comprehensive solution for tracking and monitoring Outside Business Activities (OBAs) for broker-dealers and investment advisers.

• Our service ensures that all employee activities outside the firm are in compliance with regulatory requirements, mitigating the risk of conflicts of interest or breaches of firm policies.

• Through automated monitoring and expert oversight, we help firms stay aligned with FINRA and SEC rules, ensuring transparency and protecting against potential regulatory scrutiny.

• Keep your firm compliant with GiGCXOs' OBA digital management solutions.

Policies and Procedures Management

• GiGCXOs offers comprehensive policies and procedures management for broker-dealers and RIAs, ensuring that your firm's internal controls are fully aligned with regulatory requirements.

• Our service includes the creation, review, and ongoing maintenance of your compliance manuals, ensuring they remain up-to-date with FINRA and SEC rules.

• With GiGCXOs, you can confidently manage your firm’s compliance framework, ensuring effective oversight, proper implementation, and seamless regulatory adherence, all while mitigating risks of non-compliance.

Political Donation Disclosures

• GiGCXOs offers an advanced digital political contributions tracking software designed to help broker-dealers and investment advisers comply with pay-to-play rules.

• Our software automates the tracking and reporting of political contributions, ensuring transparency and adherence to regulatory requirements.

• By minimizing the risk of violations and potential fines, GiGCXOs provides a seamless solution for firms to manage and monitor political contributions, safeguarding both their reputation and compliance with SEC regulations.

• Reg BI and Fiduciary Diligence Management

• GiGCXOs offers expert services to ensure your firm meets its Fiduciary Diligence, Duty of Care, and Reg BI obligations.

• Our tailored solutions provide in-depth reviews of client recommendations, conflict management, and adherence to regulatory standards.

• GiGCXOs empowers broker-dealers and investment advisers to maintain the highest levels of compliance, reducing the risk of regulatory action while enhancing the integrity of client relationships.

• Protect your firm and clients with GiGCXOs’ comprehensive compliance support.

Regulatory Filings

• GiGCXOs offers a streamlined and efficient regulatory filing service for broker-dealers and RIAs.

• Our experienced team handles the preparation and submission of critical filings, including Form ADV, FINRA filings, and other SEC-mandated documents. With our expert oversight, firms can avoid filing errors, missed deadlines, and potential regulatory penalties.

• Whether you're launching a new firm or managing ongoing compliance requirements, GiGCXOs ensures your filings are timely and accurate, keeping your firm in good standing with regulators.