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: How Firms Can Stay Ahead of NASAA’s Investor Alerts

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Late Form D Filings Lead to SEC Charges: How GiGCXOs’ Private Placement Audits Keep Firms in Compliance

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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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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

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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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capital markets, investment adviser, internet investment adviser, adviser compliance, exempt reporting adviser, investment adviser compliance, registered investment adviser Jay Proffitt 3/4/25 capital markets, investment adviser, internet investment adviser, adviser compliance, exempt reporting adviser, investment adviser compliance, registered investment adviser Jay Proffitt 3/4/25

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

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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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capital markets, private securities, Reg D 506 b, Reg D 506 c, Form D Jay Proffitt 2/21/25 capital markets, private securities, Reg D 506 b, Reg D 506 c, Form D Jay Proffitt 2/21/25

New Hampshire’s Crackdown on Private Placements: Why Broker-Dealers Need GiGCXOs’ PrivatePlacementAudit360™

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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…

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digital securities, RWA, digital assets, capital markets, financial services, fintech, financialregulations Jay Proffitt 1/24/25 digital securities, RWA, digital assets, capital markets, financial services, fintech, financialregulations Jay Proffitt 1/24/25

Navigating the Evolving Crypto Landscape: What GiGCXOs Can Do for Your Compliance Needs

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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.

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cybersecurity, capital markets, financial services Jay Proffitt 1/14/25 cybersecurity, capital markets, financial services Jay Proffitt 1/14/25

Cybersecurity in 2025: Lessons from Bayview Asset Management and the Role of CyberGuard360™

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