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The SEC Just Told You Its 2026 Exam Playbook. Are You Ready?
capital markets compliance, broker dealer compliance, outsource broker dealer resources, ria compliance, outsource compliance, gigcxos, finra, sec exams Jay Proffitt 12/8/25 capital markets compliance, broker dealer compliance, outsource broker dealer resources, ria compliance, outsource compliance, gigcxos, finra, sec exams Jay Proffitt 12/8/25

The SEC Just Told You Its 2026 Exam Playbook. Are You Ready?

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FinCEN Delays AML Requirements for Investment Advisers
adviser compliance, broker dealer compliance, compliance as a service, introducing broker compliance, outsource compliance Jay Proffitt 12/2/25 adviser compliance, broker dealer compliance, compliance as a service, introducing broker compliance, outsource compliance Jay Proffitt 12/2/25

FinCEN Delays AML Requirements for Investment Advisers

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FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment
FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, capital markets compliance, outsource compliance Jay Proffitt 11/28/25 FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, capital markets compliance, outsource compliance Jay Proffitt 11/28/25

FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment

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Why GiGCXOs Recommends Hadrius and Classification First AI
ria compliance, broker dealer compliance, outsource compliance, capital markets compliance, gigcxos, hadrius Jay Proffitt 11/25/25 ria compliance, broker dealer compliance, outsource compliance, capital markets compliance, gigcxos, hadrius Jay Proffitt 11/25/25

Why GiGCXOs Recommends Hadrius and Classification First AI

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Not All AI Is Created Equal For Compliance
outsource broker dealer resources, outsource compliance, broker dealer compliance, introducing broker compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25 outsource broker dealer resources, outsource compliance, broker dealer compliance, introducing broker compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25

Not All AI Is Created Equal For Compliance

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AI Tops RIA Compliance Concerns
broker dealer compliance, outsource compliance, compliance as a service, investment adviser compliance Jay Proffitt 9/3/25 broker dealer compliance, outsource compliance, compliance as a service, investment adviser compliance Jay Proffitt 9/3/25

AI Tops RIA Compliance Concerns

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Kicking Off 2025: Anticipated Trends in Capital Markets and Regulatory Changes
capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25 capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25

Kicking Off 2025: Anticipated Trends in Capital Markets and Regulatory Changes

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Avoiding Costly Supervision Failures: How GiGCXOs’ AICompliance360™ Protects Firms
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

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Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers
capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24 capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24

Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers

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AICompliance360™: Revolutionizing Outside Business Activity Tracking
outside business activity, outside business activities, finra 3270, outsource broker dealer resources, outsource compliance Jay Proffitt 10/9/24 outside business activity, outside business activities, finra 3270, outsource broker dealer resources, outsource compliance Jay Proffitt 10/9/24

AICompliance360™: Revolutionizing Outside Business Activity Tracking

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Private Placement Due Diligence by GiGCXOs
broker dealer compliance, outsource broker dealer resources, outsource compliance Jay Proffitt 10/7/24 broker dealer compliance, outsource broker dealer resources, outsource compliance Jay Proffitt 10/7/24

Private Placement Due Diligence by GiGCXOs

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Prevent Fines with GiGCXO's FiduciaryGuard360™: Your Essential Compliance Solution
financial services, fiduciary duty, reg bi, form crs, finra, outsource broker dealer resources, outsource compliance, investment adviser compliance Jay Proffitt 9/26/24 financial services, fiduciary duty, reg bi, form crs, finra, outsource broker dealer resources, outsource compliance, investment adviser compliance Jay Proffitt 9/26/24

Prevent Fines with GiGCXO's FiduciaryGuard360™: Your Essential Compliance Solution

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