SMF16s at brokers (Investment and advice) | Hackford

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SMF16

Brokers (Investment and advice)

Showing 47 newest active appointments

SMF16s at brokers (Investment and advice)

Recent active SMF16 appointments at firms classified as brokers in the Investment and advice segment.

What SMF16 means

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

Mr Andrew John Hicks

SMF16 Compliance Oversight

Active since 16 September 2026

MiFID

FRN 1054250

Investment and advice, Broker

Firm

Lumint UK Limited

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Mr Alkesh Mistry

SMF16 Compliance Oversight

Active since 9 July 2026

MiFID

FRN 1051659

Investment and advice, Broker

Firm

PTUK Limited

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Savvakis Ioannou

SMF16 Compliance Oversight

Active since 7 July 2026

MiFID

FRN 927552

Investment and advice, Broker

Firm

EBC Financial Group (UK) Ltd

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Ms Emily Gray Knaggs

SMF16 Compliance Oversight

Active since 6 July 2026

MiFID

FRN 1045733

Investment and advice, Broker

Firm

CB Payments, Ltd

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Frances Parkinson

SMF16 Compliance Oversight

Active since 20 May 2026

MiFID

FRN 1001689

Investment and advice, Broker

Firm

Arrow Energy Markets (UK) Limited

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Mr Neil Stuart Ross Grant

SMF16 Compliance Oversight

Active since 7 May 2026

MiFID

FRN 1033792

Investment and advice, Broker

Firm

ABEX UK Derivatives Limited

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Andrew Driver

SMF16 Compliance Oversight

Active since 8 April 2026

MiFID

FRN 961286

Investment and advice, Broker

Firm

Webull Securities (UK) Ltd

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Jasmine Booth

SMF16 Compliance Oversight

Active since 10 March 2026

MiFID

FRN 944492

Investment and advice, Broker

Firm

IG Trading and Investments Limited

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Levinus Jakob Hengst

SMF16 Compliance Oversight

Active since 6 March 2026

MiFID

FRN 960434

Investment and advice, Broker

Firm

Flow Traders London Ltd

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Mr Raymond Wilson

SMF16 Compliance Oversight

Active since 5 March 2026

MiFID

FRN 1033582

Investment and advice, Broker

Firm

InstantiaPay Limited

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Mr Edoardo Moreni

SMF16 Compliance Oversight

Active since 4 March 2026

FRN 1042167

Investment and advice, Broker

Firm

Emma Technologies LTD

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Oliver John Couzens

SMF16 Compliance Oversight

Active since 2 February 2026

FRN 1040196

Investment and advice, Broker

Firm

Reactive Markets Technologies Limited

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Nicolas Pascal Tedeschi

SMF16 Compliance Oversight

Active since 5 December 2025

MiFID

FRN 989397

Investment and advice, Broker

Firm

Mariana UFP SAS

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Konstantina Pastellidou

SMF16 Compliance Oversight

Active since 5 November 2025

MiFID

FRN 1009371

Investment and advice, Broker

Firm

Mexem Financial Services UK Limited

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Harry Oswell

SMF16 Compliance Oversight

Active since 1 November 2025

MiFID

FRN 968401

Investment and advice, Broker

Firm

ADG Verto Advisers LLP

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Mr Simon Curtis

SMF16 Compliance Oversight

Active since 1 October 2025

MiFID

FRN 1026211

Investment and advice, Broker

Firm

BestEx Research Ltd

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Diccon Alexander Stott Utley

SMF16 Compliance Oversight

Active since 19 September 2025

MiFID

FRN 1016599

Investment and advice, Broker

Firm

Lightship Derivatives UK Limited

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Mr Shashi Patel

SMF16 Compliance Oversight

Active since 27 June 2025

MiFID

FRN 988539

Investment and advice, Broker

Firm

Edgewater Markets Limited

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Mr Steven Anthony Brodie

SMF16 Compliance Oversight

Active since 1 May 2025

MiFID

FRN 1026803

Investment and advice, Broker

Firm

Fig Markets Limited

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Mr Christopher Kiew-Smith

SMF16 Compliance Oversight

Active since 17 December 2024

MiFID

FRN 1007925

Investment and advice, Broker

Firm

Galaxy Digital UK Limited

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Mr David Julian Wadsworth

SMF16 Compliance Oversight

Active since 12 December 2024

MiFID

FRN 1015488

Investment and advice, Broker

Firm

Bluebell Capital Limited

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Ms Tracy Anne Mills

SMF16 Compliance Oversight

Active since 7 November 2024

MiFID

FRN 1006193

Investment and advice, Broker

Firm

Clear Street UK Limited

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Ann-Marie Frances Bull

SMF16 Compliance Oversight

Active since 15 October 2024

MiFID

FRN 1010404

Investment and advice, Broker

Firm

Marex Capital Markets Inc

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Mrs Thomasina Katherine McGuigan

SMF16 Compliance Oversight

Active since 30 September 2024

MiFID

FRN 987226

Investment and advice, Broker

Firm

Lightyear U.K. Ltd

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John Patrick Trears

SMF16 Compliance Oversight

Active since 17 September 2024

MiFID

FRN 956597

Investment and advice, Broker

Firm

Magen Financial LLP

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Ms Shariffa Shakila Syed Mubarak

SMF16 Compliance Oversight

Active since 10 September 2024

MiFID

FRN 1003343

Investment and advice, Broker

Firm

GTN Europe Financial Services Limited

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Mr Chris Jackson

SMF16 Compliance Oversight

Active since 1 September 2024

MiFID

FRN 1002237

Investment and advice, Broker

Firm

OptAxe Limited

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Gerard Hurley

SMF16 Compliance Oversight

Active since 7 August 2024

MiFID

FRN 966723

Investment and advice, Broker

Firm

Bound Rates Limited

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Mr Barry Graeme Wainwright

SMF16 Compliance Oversight

Active since 25 July 2024

MiFID

FRN 982458

Investment and advice, Broker

Firm

Tradition Securities and Futures

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Mr Simon Charles Henry

SMF16 Compliance Oversight

Active since 22 July 2024

MiFID

FRN 1000594

Investment and advice, Broker

Firm

NCM FINANCIAL UK LTD

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Ms Julia Free

SMF16 Compliance Oversight

Active since 9 July 2024

MiFID

FRN 948126

Investment and advice, Broker

Firm

CMC Markets Investments Limited

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Mrs Asma Khan

SMF16 Compliance Oversight

Active since 22 April 2024

MiFID

FRN 950964

Investment and advice, Broker

Firm

Privalgo Markets Limited

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Mr Darryl Reed

SMF16 Compliance Oversight

Active since 11 March 2024

MiFID

FRN 1002737

Investment and advice, Broker

Firm

Nuevo Partners UK LLP

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Mr Noel Tin

SMF16 Compliance Oversight

Active since 15 December 2023

MiFID

FRN 951628

Investment and advice, Broker

Firm

APERTURE-FX LTD

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Mrs Katie Angela Mundell

SMF16 Compliance Oversight

Active since 11 December 2023

MiFID

FRN 989628

Investment and advice, Broker

Firm

CORIENT DEALING AND TREASURY SERVICES (UK) LIMITED

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Mr Michael Anthony Roberts

SMF16 Compliance Oversight

Active since 7 December 2023

MiFID

FRN 987714

Investment and advice, Broker

Firm

Virtu Europe Trading Limited

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Mr Martin Robert John Oakley

SMF16 Compliance Oversight

Active since 21 November 2023

MiFID

FRN 989320

Investment and advice, Broker

Firm

360 Trading Networks UK Limited

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Mr ERNEST UHUMWEKPEMA IGBINOSUN

SMF16 Compliance Oversight

Active since 21 November 2023

MiFID

FRN 921372

Investment and advice, Broker

Firm

Tradeweb Execution Services Limited

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Mr Nicholas Rhys Nash Lygoe

SMF16 Compliance Oversight

Active since 5 July 2023

MiFID

FRN 964249

Investment and advice, Broker

Firm

Bright Point International Financial (UK) Limited

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Mr Scott Ian Mordrick

SMF16 Compliance Oversight

Active since 3 July 2023

MiFID

FRN 992232

Investment and advice, Broker

Firm

BARRAS CAPITAL MANAGEMENT PLC

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Mr Jeremiah Bradley

SMF16 Compliance Oversight

Active since 30 June 2023

MiFID

FRN 977643

Investment and advice, Broker

Firm

Goodbody Stockbrokers Unlimited Company

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Mr ADAM BEAGER

SMF16 Compliance Oversight

Active since 1 December 2022

MiFID

FRN 958983

Investment and advice, Broker

Firm

Kepler Cheuvreux

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Mr Glen Ward

SMF16 Compliance Oversight

Active since 5 May 2022

MiFID

FRN 926482

Investment and advice, Broker

Firm

Multi Asset Solutions Limited

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Frances Rachel Hurley

SMF16 Compliance Oversight

Active since 24 July 2021

MiFID

FRN 921296

Investment and advice, Broker

Firm

Eightcap Group Ltd

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Mr David Meinhart

SMF16 Compliance Oversight

Active since 25 February 2021

MiFID

FRN 934966

Investment and advice, Broker

Firm

Eclipse Brokerage Services Limited

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Director Peter George Brooker

SMF16 Compliance Oversight

Active since 13 November 2020

MiFID

FRN 930336

Investment and advice, Broker

Firm

Hythe Bay Metals Limited

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Director Eduardo Antonio De Amador

SMF16 Compliance Oversight

Active since 1 October 2020

MiFID

FRN 927419

Investment and advice, Broker

Firm

Stag Securities Ltd

View firm profile

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