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SEC “Pretexting” Phishing Impersonation Campaign
archiving communications, cybersecurity, cybersecurity audit, electronic communications, FINRA 2210, Reg S-P Jay Proffitt 9/15/25 archiving communications, cybersecurity, cybersecurity audit, electronic communications, FINRA 2210, Reg S-P Jay Proffitt 9/15/25

SEC “Pretexting” Phishing Impersonation Campaign

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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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The Risks of “Off-Channel” Communications: How GiGCXOs’ AICompliance360™ Keeps Firms Compliant
capital markets, investment adviser, broker dealer, investment adviser compliance, broker dealer compliance, FINRA 2210 Jay Proffitt 3/13/25 capital markets, investment adviser, broker dealer, investment adviser compliance, broker dealer compliance, FINRA 2210 Jay Proffitt 3/13/25

The Risks of “Off-Channel” Communications: How GiGCXOs’ AICompliance360™ Keeps Firms Compliant

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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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GiGCXOs’ CommSafe360™: Empowering Firms to Stay Ahead of Rising Social Media Compliance Risks
capital markets, investment adviser, broker dealer, electronic communications Jay Proffitt 10/25/24 capital markets, investment adviser, broker dealer, electronic communications Jay Proffitt 10/25/24

GiGCXOs’ CommSafe360™: Empowering Firms to Stay Ahead of Rising Social Media Compliance Risks

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SEC's Latest Crackdown on Electronic Communications Compliance Lapses.
capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24 capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24

SEC's Latest Crackdown on Electronic Communications Compliance Lapses.

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