Skip to Content
Capital Markets Regulatory Experts
Overview
Mission
Team
Registration
Resources
Services
Software
Pricing
Blog
Customers & Partners
Events
FAQs
Contractor Portal
Customer Portal
Careers
Newsroom
Login Account
0
0
Capital Markets Regulatory Experts
Overview
Mission
Team
Registration
Resources
Services
Software
Pricing
Blog
Customers & Partners
Events
FAQs
Contractor Portal
Customer Portal
Careers
Newsroom
Login Account
0
0
Folder: Experts
Back
Overview
Mission
Team
Folder: Solutions
Back
Registration
Resources
Services
Software
Pricing
Folder: Learn
Back
Blog
Customers & Partners
Events
FAQs
Folder: Portals
Back
Contractor Portal
Customer Portal
Folder: Contact
Back
Careers
Newsroom
Login Account
Crypto Scams and Social Media Schemes Top 2025 Threats
capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25 capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25

Crypto Scams and Social Media Schemes Top 2025 Threats

Read More
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

Read More
Robinhood's $1M-a-Day in Fines: Why Compliance Can No Longer Be an Afterthought
financial services, capital markets, broker dealer compliance, investment adviser compliance Jay Proffitt 3/11/25 financial services, capital markets, broker dealer compliance, investment adviser compliance Jay Proffitt 3/11/25

Robinhood's $1M-a-Day in Fines: Why Compliance Can No Longer Be an Afterthought

Read More
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

Read More
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

Read More
The Journey Begins…
financial services, capital markets, digital assets, digital securities, broker dealer compliance Jay Proffitt 2/5/25 financial services, capital markets, digital assets, digital securities, broker dealer compliance Jay Proffitt 2/5/25

The Journey Begins…

Read More
Why Third-Party Audits Are a Game-Changer for Compliance and Growth.
Third party audits, AML audits, cybersecurity audit, broker dealer compliance, investment adviser compliance Jay Proffitt 1/21/25 Third party audits, AML audits, cybersecurity audit, broker dealer compliance, investment adviser compliance Jay Proffitt 1/21/25

Why Third-Party Audits Are a Game-Changer for Compliance and Growth.

Read More
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™

Read More
Introducing CryptoSecure360: Your Compliance Solution for Navigating Digital Securities and Cryptocurrency Regulations
broker dealer, special purpose broker-dealer, capital markets, broker dealer compliance, digital securities, digital assets Jay Proffitt 11/12/24 broker dealer, special purpose broker-dealer, capital markets, broker dealer compliance, digital securities, digital assets Jay Proffitt 11/12/24

Introducing CryptoSecure360: Your Compliance Solution for Navigating Digital Securities and Cryptocurrency Regulations

Read More
Protect Your Firm with FiduciaryGuard360™
investment adviser, broker dealer, investment adviser compliance, broker dealer compliance, capital markets, RIA, ERA, internet investment adviser Jay Proffitt 11/4/24 investment adviser, broker dealer, investment adviser compliance, broker dealer compliance, capital markets, RIA, ERA, internet investment adviser Jay Proffitt 11/4/24

Protect Your Firm with FiduciaryGuard360™

Read More
Navigating the SEC’s 2025 Exam Priorities with GiGCXOs’ Comprehensive Solutions
broker dealer compliance, investment adviser compliance, capital markets, SEC Jay Proffitt 10/22/24 broker dealer compliance, investment adviser compliance, capital markets, SEC Jay Proffitt 10/22/24

Navigating the SEC’s 2025 Exam Priorities with GiGCXOs’ Comprehensive Solutions

Read More
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

Read More
Newer Posts
Older Posts

Subscribe to Our Blog

Sign up with your email address to receive news and updates.

We respect your privacy.

Thank you! Be on the lookout for updates and news!
Services
AICompliance360
Pricing
Adviser In A Box
FAQ
Broker Dealer In A Box
Team
CXO FlexForce
Mission
Digital Assets
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.
©2025 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.
GiGCXOs is not a law firm and does not provide legal advice or legal services. Content, assessments, and outputs (including any risk scores or compliance materials) are for informational and compliance purposes only and are not a substitute for advice from qualified counsel. Use of this site and our products does not create an attorney–client relationship. For legal advice tailored to your circumstances, please consult a licensed attorney in your jurisdiction.