utm_source=taboola&utm_medium=referral

FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures

Jay Proffitt 4/2/25 Jay Proffitt 4/2/25

FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures

Read More

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

Jay Proffitt 3/10/25 Jay Proffitt 3/10/25

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

Read More

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

Jay Proffitt 3/4/25 Jay Proffitt 3/4/25

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

Read More

Navigating the New Reg S-P Amendments with CyberGuard360™

Jay Proffitt 11/27/24 Jay Proffitt 11/27/24

Navigating the New Reg S-P Amendments with CyberGuard360™

Read More

Navigating the New Reg S-P Amendments with CyberGuard360™

Jay Proffitt 11/25/24 Jay Proffitt 11/25/24

Navigating the New Reg S-P Amendments with CyberGuard360™

Read More

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

Jay Proffitt 10/28/24 Jay Proffitt 10/28/24

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

Read More

How GiGCXOs Can Help RIAs Avoid Fines for Misleading Communications

Jay Proffitt 8/21/24 Jay Proffitt 8/21/24

How GiGCXOs Can Help RIAs Avoid Fines for Misleading Communications

Read More

info@gigcxos.com

AICompliance360

Adviser In A Box

Broker Dealer In A Box

Pricing

FuturesCompli360

Schedule a Demo

Third Party Audits

Services

Our People

Our Beliefs

Careers

Customer Reviews

Newsroom

FAQs

Blog

Events

Contractor Portal

ComplianceCentral360

Diversity & Inclusion Pledge

Environmental & Sustainability Pledge

Social Impact Pledge

Legal

* FinOp (Series 27/28) and accounting services provided by industry leader and third party firm, ACI.

^ AICompliance360 is powered by the Hadrius AI Platform.  AUM is the aggregate amount across all firms using the Hadrius technology.

©2024 GiGCXOs. All rights reserved. The content, design, graphics, and other materials on this website are the property of GiGCXOs and are protected by copyright, trademark, and other intellectual property laws. Unauthorized use, reproduction, distribution, or modification of any material from this site without prior written permission from GiGCXOs is strictly prohibited. All trademarks, service marks, and logos used on this site are the trademarks of their respective owners. Any unauthorized use of these trademarks is prohibited.

The information provided on this website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities. Nothing on this site should be interpreted as a recommendation to invest, an endorsement of any particular investment, or a solicitation to engage in any investment activity. GiGCXOs does not provide investment advice, and any decisions to buy, sell, or hold securities should be made based on your own due diligence and in consultation with a qualified financial advisor.