Experts and Technology, All-In-One.

AICompliance360™

All of GiGCXOs AI-driven compliance modules with expert compliance staff to manage your broker-dealer, investment adviser or futures commission merchant’s compliance program. AICompliance360™ provides the best value for your firm.

SOC 2 compliant infrastructure and software is built with security and privacy in mind.

Comprehensive firm compliance solutions tailored to your firm’s unique needs.

GiGCXOs' offers a complete suite of compliance solutions designed to meet the specific challenges of your firm.

Our expert team works closely with you to identify gaps, streamline processes, and implement strategies that minimize risk and maximize operational efficiency.

GiGCXOs gives you the peace of mind that comes from knowing your compliance is in expert hands, allowing you to focus on growing your business.

    • GiGCXOs provides expert compliance services tailored to help firms effectively manage their Code of Ethics and Conflicts of Interest

    • Our solutions ensure that firms uphold high ethical standards, mitigate potential conflicts, and enforce robust personal conduct.

    • Through automated monitoring, reporting, and customized guidance, we help broker-dealers, futures commission merchants, and RIAs navigate complex compliance areas while maintaining transparency and accountability across their operations.

    • Having trouble monitoring all of the various digital communication channels at your firm?

    • We have you covered. License our AI driven electronic communications software, and stay ahead of the regulators.

    • We track email, Telegram, Slack, Teams, Intercom, WhatsApp, Dialpad, Ring Central, Google Chat and others on the way, if you need it, ask!

    • Our compliance software is 17a-4 compliant by default, and we facilitate this using Amazon AWS S3 Object Lock.

    • All centralized in the compliance monitoring "Dashboard".

    • Building an SEC/FINRA/CFTC/NFA comprehensive compliance program that thorough to ensure that Broker-Dealers and Investment Advisers comply with all relevant SEC/FINRA rules and regulations and other applicable laws and standards.

    • All centralized in the compliance monitoring "Dashboard".

    • GiGCXOs offers a comprehensive disclosure tracking and management solution to ensure that broker-dealers and investment advisers stay compliant with all CFTC/NFA and SEC/FINRA disclosure requirements.

    • Our AI-driven platform automates the monitoring, filing, and updating of essential disclosures, helping firms avoid missed deadlines, inconsistencies, and potential regulatory penalties.

    • With GiGCXOs, you can efficiently manage conflicts of interest and ensure that all client-facing communications and documents meet compliance standards, streamlining your regulatory processes.

    • GiGCXOs offers expert services to ensure your firm meets its Fiduciary Diligence, Duty of Care, and Reg BI obligations.

    • Our tailored solutions provide in-depth reviews of client recommendations, conflict management, and adherence to regulatory standards.

    • GiGCXOs empowers broker-dealers and investment advisers to maintain the highest levels of compliance, reducing the risk of regulatory action while enhancing the integrity of client relationships.

    • Protect your firm and clients with GiGCXOs’ comprehensive compliance support.

    • GiGCXOs provides top-tier fractional resources, offering access to highly experienced compliance and regulatory professionals on a part-time or as-needed basis.

    • Our fractional resources allow firms to scale their compliance operations flexibly, ensuring optimal support for specific projects or ongoing needs while controlling costs.

    • Get expert-level assistance exactly when you need it with GiGCXOs.

    • Navigating the complex and often ambiguous advertising laws and regulations in the broker-dealer and investment advisory industry can be challenging for any firm, with the risk of hefty fines or reputational damage looming large for non-compliance.

    • GiGCXOs offers AI-driven marketing review service, partnering closely with you and your team to ensure that all your advertising and marketing materials are thoroughly reviewed for compliance.

    • Our expertise ensures that your firm not only meets regulatory standards efficiently but also protects its reputation and minimizes potential risks.

    • GiGCXOs offers comprehensive policies and procedures management for broker-dealers, futures commission merchant, and RIAs, ensuring that your firm's internal controls are fully aligned with regulatory requirements.

    • Our service includes the creation, review, and ongoing maintenance of your compliance manuals, ensuring they remain up-to-date with CFTC/NFA and FINRA/SEC rules.

    • With GiGCXOs, you can confidently manage your firm’s compliance framework, ensuring effective oversight, proper implementation, and seamless regulatory adherence, all while mitigating risks of non-compliance.

    • GiGCXOs offers a streamlined and efficient regulatory filing service for broker-dealers, futures commission merchants, and RIAs.

    • Our experienced team handles the preparation and submission of critical filings, including Form ADV, FINRA filings, CFTC/NFA and SEC-mandated documents. With our expert oversight, firms can avoid filing errors, missed deadlines, and potential regulatory penalties.

    • Whether you're launching a new firm or managing ongoing compliance requirements, GiGCXOs ensures your filings are timely and accurate, keeping your firm in good standing with regulators.

Ensuring your workforce meets compliance standards with ease and efficiency.

GiGCXOs' is your go-to solution for managing employee compliance across your organization.

With tailored tools for real-time oversight, reporting, and training management, streamlines the compliance process, reducing administrative burden while maintaining full regulatory adherence.

    • GiGCXOs offers a full range of continuing education services to ensure your team stays compliant and informed.

    • Our tailored programs include Anti-Money Laundering (AML) training, investment adviser continuing education, and other specialized regulatory courses designed to meet FINRA, CFTC, and SEC requirements.

    • Through ongoing education, we help firms maintain a high level of regulatory awareness, reduce compliance risks, and foster a culture of best practices.

    • With GiGCXOs, your staff will stay up-to-date with the latest regulatory changes and industry standards.

    • GiGCXOs provides top-tier fractional resources, offering access to highly experienced compliance and regulatory professionals on a part-time or as-needed basis.

    • Our fractional resources allow firms to scale their compliance operations flexibly, ensuring optimal support for specific projects or ongoing needs while controlling costs.

    • Get expert-level assistance exactly when you need it with GiGCXOs.

    • GiGCXOs offers comprehensive gift and entertainment compliance tracking, ensuring broker-dealers meet all regulatory obligations.

    • Our automated solution monitors gifts and entertainment expenses, providing real-time reporting and ensuring transparency to prevent conflicts of interest.

    • With GiGCXOs, you can maintain a clear record of all activities, stay compliant with regulatory thresholds, and protect your firm from potential violations.

    • Simplify the management of your firm’s gift and entertainment policies with GiGCXOs’ trusted tracking services.

    • GiGCXOs offers a seamless solution for monitoring outside brokerage accounts through its software platform, integrated with Plaid.

    • This modern, paperless system eliminates the need for manual letters and documentation, automating the tracking and reporting of employee brokerage accounts.

    • With real-time data access and comprehensive monitoring, firms can ensure compliance with regulatory requirements and stay on top of personal trading activities efficiently.

    • Say goodbye to paperwork and streamline your compliance processes with GiGCXOs' integrated monitoring solution.

    • GiGCXOs provides a comprehensive solution for tracking and monitoring Outside Business Activities (OBAs) for broker-dealers and investment advisers.

    • Our service ensures that all employee activities outside the firm are in compliance with regulatory requirements, mitigating the risk of conflicts of interest or breaches of firm policies.

    • Through automated monitoring and expert oversight, we help firms stay aligned with CFTC/NFA, FINRA,and SEC rules, ensuring transparency and protecting against potential regulatory scrutiny.

    • Keep your firm compliant with GiGCXOs' OBA digital management solutions.

    • GiGCXOs offers an advanced digital political contributions tracking software designed to help broker-dealers and investment advisers comply with pay-to-play rules.

    • Our software automates the tracking and reporting of political contributions, ensuring transparency and adherence to regulatory requirements.

    • By minimizing the risk of violations and potential fines, GiGCXOs provides a seamless solution for firms to manage and monitor political contributions, safeguarding both their reputation and compliance with SEC regulations.

Download a free Internal Controls Over Compliance (ICOC) Development Plan