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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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LPL Financial Hit with $18M AML Fine: How GiGCXOs’ AML Audit Solution Can Prevent Compliance Failures
capital markets, broker dealer compliance, investment adviser, AML, AML audits Jay Proffitt 2/27/25 capital markets, broker dealer compliance, investment adviser, AML, AML audits Jay Proffitt 2/27/25

LPL Financial Hit with $18M AML Fine: How GiGCXOs’ AML Audit Solution Can Prevent Compliance Failures

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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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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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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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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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How GiGCXOs' AI-Driven Compliance Software Can Help Broker-Dealers and Investment Advisers Avoid Fines for Misleading Advertisements
saas, caas, raas, capital markets, broker dealer compliance, investment adviser compliance, exempt reporting adviser, internet investment adviser Jay Proffitt 9/6/24 saas, caas, raas, capital markets, broker dealer compliance, investment adviser compliance, exempt reporting adviser, internet investment adviser Jay Proffitt 9/6/24

How GiGCXOs' AI-Driven Compliance Software Can Help Broker-Dealers and Investment Advisers Avoid Fines for Misleading Advertisements

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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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Welcome, Steve Manning: A New Independent Consultant Joins GiGCXOs' Expert Team
outsource compliance, broker dealer compliance, investment adviser compliance, FINRA, SEC, capital markets Jay Proffitt 9/3/24 outsource compliance, broker dealer compliance, investment adviser compliance, FINRA, SEC, capital markets Jay Proffitt 9/3/24

Welcome, Steve Manning: A New Independent Consultant Joins GiGCXOs' Expert Team

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Exciting Partnership Announcement: GiGCXOs Teams Up with Hadrius to Revolutionize Compliance Management.
broker-dealer, investment adviser, capital markets Jay Proffitt 8/28/24 broker-dealer, investment adviser, capital markets Jay Proffitt 8/28/24

Exciting Partnership Announcement: GiGCXOs Teams Up with Hadrius to Revolutionize Compliance Management.

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Safeguarding Your Firm: How GiGCXOs’ Comprehensive Cybersecurity Audits Can Prevent Costly Cyber Attacks
cybersecurity, financial services, FINRA, capital markets Jay Proffitt 8/22/24 cybersecurity, financial services, FINRA, capital markets Jay Proffitt 8/22/24

Safeguarding Your Firm: How GiGCXOs’ Comprehensive Cybersecurity Audits Can Prevent Costly Cyber Attacks

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How GiGCXOs Can Help RIAs Avoid Fines for Misleading Communications
investment adviser compliance, investment adviser, RIA, registered investment adviser, exempt reporting adviser, FINRA, SEC, SEC adviser consulting, capital markets Jay Proffitt 8/21/24 investment adviser compliance, investment adviser, RIA, registered investment adviser, exempt reporting adviser, FINRA, SEC, SEC adviser consulting, capital markets Jay Proffitt 8/21/24

How GiGCXOs Can Help RIAs Avoid Fines for Misleading Communications

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