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What RIAs Should Prioritize in 2025
capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25 capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25

What RIAs Should Prioritize in 2025

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Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers
broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25 broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25

Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers

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Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers
adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25 adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25

Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers

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Robo-Advisor Faces Backlash Over Controversial Ads: How AICompliance360™ Prevents Marketing Compliance Risks
capital markets, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, outsource broker dealer resources, adviser compliance Jay Proffitt 3/10/25 capital markets, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, outsource broker dealer resources, adviser compliance Jay Proffitt 3/10/25

Robo-Advisor Faces Backlash Over Controversial Ads: How AICompliance360™ Prevents Marketing Compliance Risks

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SEC Charges Investment Adviser Over AML Failures: How GiGCXOs’ AML Audits Protect Firms from Costly Penalties
capital markets, investment adviser, internet investment adviser, adviser compliance, exempt reporting adviser, investment adviser compliance, registered investment adviser Jay Proffitt 3/4/25 capital markets, investment adviser, internet investment adviser, adviser compliance, exempt reporting adviser, investment adviser compliance, registered investment adviser Jay Proffitt 3/4/25

SEC Charges Investment Adviser Over AML Failures: How GiGCXOs’ AML Audits Protect Firms from Costly Penalties

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Navigating the New Reg S-P Amendments with CyberGuard360™
SEC, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, adviser compliance, capital markets, financial services Jay Proffitt 11/27/24 SEC, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, adviser compliance, capital markets, financial services Jay Proffitt 11/27/24

Navigating the New Reg S-P Amendments with CyberGuard360™

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

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GiGCXOs Welcomes Steve Maiello as an Independent Consultant
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

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

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How GiGCXOs AI Consultants Can Prevent FINRA Fines for Supervision Failures
FINRA, financial services, SEC adviser consulting, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, broker dealer registration, broker-dealer, RIA, capital markets Jay Proffitt 8/21/24 FINRA, financial services, SEC adviser consulting, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, broker dealer registration, broker-dealer, RIA, capital markets Jay Proffitt 8/21/24

How GiGCXOs AI Consultants Can Prevent FINRA Fines for Supervision Failures

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How GiGCXOs Can Ensure Firms Meet Electronic Communications Obligations with AI Tech
electronic communications, FINRA, FINRA 2210, communications with the public, SEC adviser consulting, investment adviser compliance, adviser compliance, broker dealer compliance Jay Proffitt 8/20/24 electronic communications, FINRA, FINRA 2210, communications with the public, SEC adviser consulting, investment adviser compliance, adviser compliance, broker dealer compliance Jay Proffitt 8/20/24

How GiGCXOs Can Ensure Firms Meet Electronic Communications Obligations with AI Tech

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Leveraging AI for Compliance: How GiGCXOs Can Help You Stay Ahead
adviser compliance, investment adviser compliance, broker dealer compliance, financial services, capital markets Jay Proffitt 8/17/24 adviser compliance, investment adviser compliance, broker dealer compliance, financial services, capital markets Jay Proffitt 8/17/24

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

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