0
2014 Finra Fines (in Millions)

0
% of increase from 2013 to 2014

0
Disciplinary actions first six months of 2014

0
% increase in 'supersized' fines

The first six months indicate that 2014 will likely be a year of substantial increases in FINRA fines. FINRA appears to be repositioning itself as its actions shift from cases relating to the financial crisis to more technical issues.

- Sutherland Article

FINRA Disciplinary Sanctions Rising


Cyfeon’s Approach

Cyfeon believes financial services compliance departments should have the same technological advantages that trading applications and other ‘profit center’ technologies have.

We back that up with tools and processes such as FINRA WebEFT automation, ad hoc report generation with automated publishing, data federation regardless of source or format, Google-like document upload, search and find.

We’re a FinServ compliance software company.

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Experts

Cyfeon brings decades of financial services experience to customer deployments.

Our delivery team brings even more experience. Sure, the technology is first rate but companies that hire us do so because of WHY we do what we do but also because of WHO we are as industry leaders.

You’ve heard ‘bet the jockey, not the horse”?

 

Meet them…



Products

We have purpose built solutions to meet your needs.

Customer Complaint Management (Rule 4530)

Control Room (Rule 2711)

Employee Outside Activity (Rule 3270)

CyfPortal

Our scalable and repeatable technology allows us to quickly and efficiently deliver best of breed compliance solutions that meet many more regulations.

Solutions


Cyfeon Believes…

financial services compliance departments should have the same technological advantages that trading applications and other ‘profit center’ technologies have.

We back that up with tools and processes such as FINRA WebEFT automation, ad hoc report generation with automated publishing, data federation regardless of source or format, Google-like document upload, search and find.

We’re a FinServ compliance software company.


Experts

Cyfeon brings decades of financial services experience to customer deployments.

Our delivery team brings even more experience. Sure, the technology is first rate but companies that hire us do so because of WHY we do what we do but also because of WHO we are as industry leaders.

You’ve heard ‘bet the jockey, not the horse”?

 

Meet them…



Products

We have purpose built solutions to meet your needs.

Customer Complaint Management (Rule 4530)

Control Room (Rule 2711)

Employee Outside Activity (Rule 3270)

CyfPortal

Our scalable and repeatable technology allows us to quickly and efficiently deliver best of breed compliance solutions that meet many more regulations.

We want to hear from you!

In addition to the products you’ve come to expect in Cyfeon’s premium compliance suite, we’ve developed an amazing purpose built platform that allows firms to seamlessly integrate other regulatory needs without concern over integration pain.

 

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