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
Not All AI Is Created Equal For Compliance
outsource broker dealer resources, outsource compliance, broker dealer compliance, introducing broker compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25 outsource broker dealer resources, outsource compliance, broker dealer compliance, introducing broker compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25

Not All AI Is Created Equal For Compliance

Read More
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

Read More
Kicking Off 2025: Anticipated Trends in Capital Markets and Regulatory Changes
capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25 capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25

Kicking Off 2025: Anticipated Trends in Capital Markets and Regulatory Changes

Read More
Avoiding Costly Supervision Failures: How GiGCXOs’ AICompliance360™ Protects Firms
capital markets, regtech, outsource compliance, financial services Jay Proffitt 12/13/24 capital markets, regtech, outsource compliance, financial services Jay Proffitt 12/13/24

Avoiding Costly Supervision Failures: How GiGCXOs’ AICompliance360™ Protects Firms

Read More
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

Read More
AICompliance360™: Revolutionizing Outside Business Activity Tracking
outside business activity, outside business activities, finra 3270, outsource broker dealer resources, outsource compliance Jay Proffitt 10/9/24 outside business activity, outside business activities, finra 3270, outsource broker dealer resources, outsource compliance Jay Proffitt 10/9/24

AICompliance360™: Revolutionizing Outside Business Activity Tracking

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
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

Read More
GiGCXOs Welcomes Steve Maiello as an Independent Consultant
financial services, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, investment adviser compliance, capital markets Jay Proffitt 9/5/24 financial services, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, investment adviser compliance, capital markets Jay Proffitt 9/5/24

GiGCXOs Welcomes Steve Maiello as an Independent Consultant

Read More
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

Read More
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

Read More
How GiGCXOs AI Consultants Can Prevent FINRA Fines for Supervision Failures
FINRA, financial services, SEC adviser consulting, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, broker dealer registration, broker-dealer, RIA, capital markets Jay Proffitt 8/21/24 FINRA, financial services, SEC adviser consulting, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, broker dealer registration, broker-dealer, RIA, capital markets Jay Proffitt 8/21/24

How GiGCXOs AI Consultants Can Prevent FINRA Fines for Supervision Failures

Read More
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.