SMF16 is the FCA-approved senior manager with formal accountability for overseeing the firm's compliance with FCA rules and wider regulatory obligations, including the design and effectiveness of the compliance framework and monitoring.
It exists to give the FCA a single, clearly identifiable person responsible for managing regulatory and conduct risk, advising senior leadership, and ensuring issues are investigated, remediated, and notified where required.
Latest active appointments
Marco Sportelli
SMF16 Compliance Oversight
Firm
Mediobanca - Banca Di Credito Finanziario S.P.A.
Adam Ludwiczak
SMF16 Compliance Oversight
Firm
MARATHON CAPITAL LTD
Nimish Hiralal Shah
SMF16 Compliance Oversight
Firm
Norddeutsche Landesbank Girozentrale
ELENA VALTORTA
SMF16 Compliance Oversight
Firm
Landesbank Hessen-Thüringen Girozentrale
Mr Germán Torres Villodre
SMF16 Compliance Oversight
Firm
Transatlantique Private Wealth (UK) Limited
Nicholas Dilworth
SMF16 Compliance Oversight
Firm
Retail Book Limited
Andrew Palliser
SMF16 Compliance Oversight
Firm
Moelis & Company London Limited
Mr Syed Arafat Hussain Shah
SMF16 Compliance Oversight
Firm
Haitong Bank, S.A.
Ms Wendy van Beest
SMF16 Compliance Oversight
Firm
NIBC Bank N.V
Ian Malcolm Bernard
SMF16 Compliance Oversight
Firm
GUOTAI HAITONG SECURITIES (UK) LIMITED
Doctor Alexander Putzer
SMF16 Compliance Oversight
Firm
LGT Bank AG
Mr Matthew Roy
SMF16 Compliance Oversight
Firm
UniCredit Bank GmbH
Mr Matthew Roy
SMF16 Compliance Oversight
Firm
UniCredit S.p.A
Mr Tobias Schlieper
SMF16 Compliance Oversight
Firm
KfW IPEX-Bank GmbH
Ms Dalia Kodi
SMF16 Compliance Oversight
Firm
Raine Advisors Limited
Mr DINESH SADARANGANI
SMF16 Compliance Oversight
Firm
Bank of America Europe DAC
Miss Katrina Marie Duffy
SMF16 Compliance Oversight
Firm
Joh. Berenberg, Gossler & Co. KG
Mr Andrew Scott Fenton
SMF16 Compliance Oversight
Firm
Deutsche Pfandbriefbank AG
Mark Anthony Evans
SMF16 Compliance Oversight
Firm
Hamburg Commercial Bank AG
Mr Chika Victor Ogbulie
SMF16 Compliance Oversight
Firm
ODDO BHF UK Limited
Ms Victoria Ward
SMF16 Compliance Oversight
Firm
Goldman Sachs Bank Europe SE
Mr Richard Farrar Rothwell
SMF16 Compliance Oversight
Firm
Chapel Hill Denham UK Limited
Mr Se-Woong Chang
SMF16 Compliance Oversight
Firm
NH Investment & Securities Europe Ltd
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