Related Products
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About
Cyfeon’s suite of industry‑focused products helps financial services, communications, and energy companies automate critical business functions and accelerate profitability. The Commission and Revenue Share Management system automates and executes contract terms, fees, taxes, and payments on schedule and with precision, based on rules you establish, tracking workflows and auditing approvals to ensure accurate disbursement to internal and external stakeholders and timely collection of franchise fees; the Control Room solution streamlines regulatory compliance by automating watch‑list management, research workflows, outside‑trading monitoring, FINRA submissions, ad hoc reporting, audit trails, and corporate action‑item tracking within an integrated Compliance Dashboard.
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About
Smartria is RIA compliance software designed to help registered investment advisors, chief compliance officers, and compliance consultants centralize and automate SEC and FINRA compliance programs. The platform comes pre-configured for relevant regulatory requirements while allowing firms to customize workflows and processes to their specific compliance needs. Compliance management features organize tasks, forms, deadlines, alerts, reminders, regulatory filings, and record retention within a centralized system. Smartria also provides marketing review workflows, employee attestations, trade monitoring, vendor management, employee oversight, and automated employee onboarding. Trade monitoring supports customized trade rules, pre-clearance, front-running alerts, and Know Your Client and Know Your Employee requirements.
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Platforms Supported
Windows
Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Not Supported
iPad
Not Supported
Android
Not Supported
Chromebook
Not Supported
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Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Not Supported
iPad
Not Supported
Android
Not Supported
Chromebook
Not Supported
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Audience
IT and compliance leaders seeking end‑to‑end automation for commission processing, regulatory compliance, complaint management, and enterprise data governance
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Audience
Registered investment advisors, chief compliance officers, compliance teams, wealth management firms, and compliance consultants that need to manage, automate, document, and scale SEC and FINRA compliance programs
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Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Supported
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Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Not Supported
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API
Offers API
Not Supported
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API
Offers API
Not Supported
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Screenshots and VideosNo images available
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Screenshots and Videos |
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Reviews/
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Reviews/
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Pros & Cons from Real UsersPros
Cons
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Training
Documentation
Not Supported
Webinars
Not Supported
Live Online
Supported
In Person
Supported
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Training
Documentation
Supported
Webinars
Not Supported
Live Online
Supported
In Person
Not Supported
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Company InformationCyfeon
Founded: 2011
United States
www.cyfeon.com
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Company InformationSmartria
Founded: 2011
United States
smart-ria.com
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Categories |
Categories |
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Complaint Management Features
Case Management
Supported
Complaint Classification
Supported
Corrective Actions (CAPA)
Supported
Customer Complaint Tracking
Supported
Feedback Management
Supported
Forms Management
Supported
Issue Tracking
Supported
Quality Assurance Management
Not Supported
Routing
Not Supported
Self Service Portal
Supported
Social Media Monitoring
Not Supported
Survey Management
Supported
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Compliance Features
Archiving & Retention
Supported
Artificial Intelligence (AI)
Not Supported
Audit Management
Supported
Compliance Tracking
Not Supported
Controls Testing
Not Supported
Environmental Compliance
Not Supported
FDA Compliance
Not Supported
HIPAA Compliance
Not Supported
Incident Management
Not Supported
ISO Compliance
Not Supported
OSHA Compliance
Not Supported
Risk Management
Supported
Sarbanes-Oxley Compliance
Not Supported
Surveys & Feedback
Not Supported
Version Control
Not Supported
Workflow / Process Automation
Not Supported
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Integrations
No info available.
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Integrations
No info available.
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