Your Trusted Partner in Regulatory Compliance Audits.

Our flagship products for investment advisers and broker-dealers.

Are you in need of a third party audit to satisfy regulatory requirements? Look no further.

    • Comprehensive audits to safeguard your business from financial crime.

    • AMLGuard360™ from GiGCXOs provides an all-encompassing solution for your anti-money laundering (AML) compliance needs. Our tailored audits are designed to adapt to the ever-evolving regulatory landscape, ensuring your firm meets and exceeds today's stringent AML requirements.

    • With expert auditors who understand the nuances of the financial services industry, AMLGuard360™delivers precise, actionable insights to safeguard your business from regulatory risks and financial crime. Stay compliant, protect your reputation, and confidently face your next audit with AMLGuard360™.

    • GiGCXOs offers comprehensive Anti-Money Laundering (AML) program audit services for broker-dealers and investment advisers. Firms are required to maintain an AML program in compliance with the Bank Secrecy Act (BSA) and relevant regulations.

  • FINRA 3130 Audit and Certification

    Empowering Leaders, Ensuring Compliance.

    • CEOCert360™ is a comprehensive service designed for broker-dealers to meet the stringent requirements of FINRA Rule 3130. This rule mandates that the CEO must annually certify that the firm has established processes to establish, maintain, and enforce a system of supervisory controls. CEOCert360™ streamlines this certification process, combining expert consulting, comprehensive audits, and AI-driven tools to ensure your supervisory system is robust and compliant.

    Features:

    • Supervisory Controls Audit: A thorough review of your firm’s supervisory control system to identify weaknesses, address gaps, and document processes.

    • AI-Enhanced Risk Assessment: Using cutting-edge AI tools, CEOCert360™ identifies potential compliance risks in your processes, ensuring nothing is overlooked.

    • Comprehensive CEO Report: We provide a tailored CEO report documenting all findings, supervisory control reviews, and action plans.

    • Annual Certification Preparation: Assistance in drafting and preparing the CEO’s annual certification per FINRA Rule 3130.

    • Flat Fee Pricing: Transparent, flat-fee pricing for the entire audit and certification process, avoiding hourly rates.

    Key Benefits:

    • Simplified Process: Streamline compliance with FINRA 3130, reducing the administrative burden on CEOs.

    • Expert Insights: Gain access to GiGCXOs' team of seasoned experts who specialize in regulatory compliance.

    • Advanced Technology: Leverage AI tools to ensure a thorough and accurate review of your supervisory controls.

    • Peace of Mind: Ensure full compliance and mitigate the risk of regulatory fines or enforcement actions.

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    • Fortifying your digital defenses with comprehensive cybersecurity audits.

    • GiGCXOs' CyberGuard360™ provides your business with a robust cybersecurity audit solution designed to protect against today's most sophisticated digital threats. Our in-depth audits identify vulnerabilities in your systems, networks, and processes, ensuring that your firm is fortified with the highest level of security.

    • With a team of seasoned cybersecurity experts, CyberGuard360™ offers tailored assessments to meet regulatory requirements and safeguard your critical assets. Stay ahead of cyber risks, protect your data, and maintain the trust of your clients with CyberGuard360™, your ultimate defense against cyber attacks.

    • GiGCXOs offers comprehensive cybersecurity and IT audit services to help broker-dealers comply with Regulations S-P and S-ID, which mandate the safeguarding of customer information. By ensuring your firm’s systems are secure and in line with regulatory standards, we help protect sensitive client data and reduce the risk of cyber threats.

  • Ensuring your firm meets fiduciary standards with tailored Fiduciary Duty and Reg BI assessments.

    • GiGCXOs' FiduciaryGuard360™ provides your firm with a comprehensive solution to meet both Reg BI and fiduciary duty obligations.

    • Our in-depth assessments are designed to identify compliance gaps and ensure that your firm upholds the highest standards of care when serving your clients.

    • With a focus on tailored guidance and expert analysis, FiduciaryGuard360™ helps you navigate the complex regulatory landscape, minimize risk, and maintain client trust.

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

  • Key Features:

    • Full Regulatory Compliance Review: PrivatePlacementAudit360™ meticulously reviews PPMs to ensure they adhere to SEC Rule 506 and SEC Rule 504 of Reg D, FINRA rules, and applicable state Blue Sky laws, covering all disclosure requirements and exemptions.

    • Risk Disclosure Audit: The service ensures that risk factors are clearly and fully disclosed, preventing potential regulatory scrutiny or investor claims related to inadequate or misleading information.

    • Investor Suitability: This audit includes a comprehensive review of the procedures used to verify accredited investor status and assess investor suitability in line with Reg BI requirements.

    • Conflict of Interest Check: PrivatePlacementAudit360™ identifies any potential conflicts of interest between issuers and investors and ensures proper disclosure and mitigation measures are in place.

    • Marketing Materials Compliance: The audit evaluates all marketing and offering materials related to the private placement, ensuring they comply with SEC rules, including Regulation D exemptions and FINRA’s advertising regulations.

    • Fiduciary Duties Compliance: It assesses whether the private placement process aligns with fiduciary duties under Regulation Best Interest (Reg BI) and the firm’s obligations to act in the best interests of their clients.

    • Ongoing Monitoring & Updates: This product not only audits PPMs but also provides ongoing monitoring to ensure the document stays compliant with evolving securities regulations and updates on any legislative changes impacting the private placement.

    • WSPGuard360™ offers a comprehensive solution for auditing and assessing your firm's Written Supervisory Procedures (WSPs). GiGCXOs delivers a detailed analysis, ensuring that your supervisory framework meets the latest regulatory requirements and is built to withstand scrutiny.

    • With WSPGuard360™, you can protect your firm from compliance risks by maintaining robust, effective, and up-to-date procedures.

    • GiGCXOs offers a thorough review and assessment of your broker-dealer or investment adviser's Written Supervisory Procedures (WSPs) with expert recommendations for updates and improvements.

    • This flat-fee service includes a full consultation, saving firms significant time and money by eliminating hourly fees.

    • Let GiGCXOs handle the complexities, so you can focus on your business.

Third-Party Audits

Broker-Dealers and Investment Advisers must adhere to stringent third-party audits and regulatory requirements to maintain compliance with financial, operational, and regulatory standards.

We deliver these audits efficiently and professionally, giving you confidence in the strength and reliability of your compliance program.

    • GiGCXOs offers comprehensive Anti-Money Laundering (AML) program audit services for broker-dealers and investment advisers. Firms are required to maintain an AML program in compliance with the Bank Secrecy Act (BSA) and relevant regulations.

    • Our independent audits, conducted annually or every two years for firms with fewer than 100 employees, ensure your AML program meets all regulatory standards.

    • We identify gaps, provide actionable recommendations, and help you stay compliant with AML requirements, safeguarding your firm against potential risks and penalties.

    • GiGCXOs offers specialized services to help broker-dealers comply with FINRA Rule 4370, which requires firms to maintain a written Business Continuity Plan (BCP) that is reviewed annually.

    • Our experts conduct thorough reviews of your BCP to ensure it is comprehensive and addresses potential business disruptions, safeguarding your firm from operational risks.

    • With GiGCXOs' BCP review services, you can ensure that your firm remains resilient and prepared for unexpected events, staying in line with regulatory requirements while protecting your business.

    • GiGCXOs provides expert audits and compliance support for broker-dealers to meet CAT (Consolidated Audit Trail) reporting requirements.

    • Our services ensure that trade data is accurately and timely reported to the CAT system, helping firms maintain compliance with SEC and FINRA regulations.

    • By conducting detailed audits, GiGCXOs identifies and addresses potential discrepancies, mitigating the risk of fines or regulatory issues.

    • Ensure your CAT reporting is seamless and compliant with GiGCXOs' specialized services.

    • GiGCXOs provides specialized services to ensure broker-dealers comply with FINRA Rule 4530, which requires firms to review and report customer complaints and dispute resolution cases.

    • Our expert audits examine your firm's complaint handling procedures and arbitration case management to identify any gaps and improve processes.

    • With GiGCXOs' thorough oversight, you can ensure timely reporting, efficient resolution management, and adherence to regulatory standards, protecting your firm from potential compliance issues.

    • GiGCXOs offers comprehensive cybersecurity and IT audit services to help broker-dealers comply with Regulations S-P and S-ID, which mandate the safeguarding of customer information.

    • Our audits include comprehensive penetration testing and in-depth reviews of the firm’s cybersecurity polices and procedures, as well as an assessment of the firm’s cybersecurity program readiness under the NIST framework.

    • By ensuring your firm’s systems are secure and in line with regulatory standards, we help protect sensitive client data and reduce the risk of cyber threats.

    • Trust GiGCXOs to keep your firm’s cybersecurity robust and compliant with all applicable regulations.

    • Download the FINRA Cybersecurity Audit Expectations

      • GiGCXOs offers comprehensive internal audit services tailored for broker-dealers and investment advisers.

      • Our expert team conducts thorough audits to assess the effectiveness of your firm's compliance, risk management, and operational controls.

      • By identifying gaps, evaluating processes, and providing actionable recommendations, GiGCXOs helps firms enhance their internal oversight and stay in line with regulatory requirements.

      • Strengthen your firm's internal controls and reduce the risk of non-compliance with GiGCXOs' trusted internal audit solutions.

    • GiGCXOs provides specialized audit services for broker-dealers offering market access, ensuring compliance with SEC Rule 15c3-5.

    • This rule mandates stringent risk management controls to prevent erroneous trades and trading anomalies that could impact the financial markets.

    • Our audits assess and enhance your firm's risk control systems, ensuring they meet regulatory standards and safeguard against potential trading errors.

    • With GiGCXOs' expertise, broker-dealers can confidently manage market access risks and maintain full compliance with the SEC's Market Access Rule.

    • Need help with your FINRA or SEC exam? We have seasoned compliance staff that will take the lead for you.

    • Periodic Examinations: In addition to third-party audits, FINRA conducts its own periodic examinations of broker-dealers to ensure compliance with its rules and regulations. These examinations can be routine or triggered by specific concerns.

    • GiGCXOs offers comprehensive audits to ensure compliance with FINRA and SEC guidelines for operational risk management.

    • Our services include detailed assessments of your firm’s processes, procedures, and controls to identify and mitigate operational risks effectively.

    • By regularly auditing these practices, we help firms enhance their risk management frameworks, reduce vulnerabilities, and ensure adherence to regulatory requirements.

    • Trust GiGCXOs to safeguard your firm against operational risks through robust audit practices aligned with regulatory expectations.

    • GiGCXOs offers specialized audit services for broker-dealers engaged in options and derivatives trading, ensuring full compliance with FINRA Rule 2360.

    • Our audits focus on critical areas such as risk management, margin requirements, and customer suitability to ensure your firm adheres to the regulations governing these complex financial instruments.

    • By leveraging GiGCXOs' expertise, broker-dealers can mitigate compliance risks, avoid regulatory penalties, and maintain robust oversight in their options and derivatives trading activities.

    • Introducing PrivatePlacementAudit360™ by GiGCXOs, a comprehensive audit service designed specifically for broker-dealers to ensure that their Private Placement Memorandums (PPMs) meet all regulatory compliance standards under the Securities Act of 1933 and other relevant securities laws.

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    • GiGCXOs helps broker-dealers comply with FINRA Rules 3120 and 3130 by establishing, maintaining, and enforcing a robust system of supervisory controls.

    • Our services include conducting thorough reviews of your firm’s controls, assisting with the preparation of the required annual reports, and ensuring that an independent review is conducted when necessary.

    • With GiGCXOs, you can ensure your firm’s supervisory controls meet regulatory standards, mitigating risks and keeping your operations fully compliant with FINRA's stringent requirements.

    • GiGCXOs offers comprehensive audits and assessments of broker-dealers' Written Supervisory Procedures (WSPs).

    • Our expert team thoroughly evaluates your firm’s WSPs to ensure they are up-to-date, aligned with regulatory requirements, and effectively mitigate compliance risks. By identifying gaps and recommending enhancements, we help broker-dealers maintain strong oversight frameworks, reducing the likelihood of regulatory breaches and penalties.

    • Trust GiGCXOs to ensure your firm’s supervisory procedures meet FINRA and SEC standards while safeguarding your operations.

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