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
Oliver John Couzens
SMF16 Compliance Oversight
Firm
Reactive Markets Technologies Limited
Mr Peter Michael Sugarman
SMF16 Compliance Oversight
Firm
ABEX UK Derivatives Limited
Nicolas Pascal Tedeschi
SMF16 Compliance Oversight
Firm
Mariana UFP SAS
Konstantina Pastellidou
SMF16 Compliance Oversight
Firm
Mexem Financial Services UK Limited
Harry Oswell
SMF16 Compliance Oversight
Firm
ADG Verto Advisers LLP
Mr Simon Curtis
SMF16 Compliance Oversight
Firm
BestEx Research Ltd
Diccon Alexander Stott Utley
SMF16 Compliance Oversight
Firm
Lightship Derivatives UK Limited
Mr Shashi Patel
SMF16 Compliance Oversight
Firm
Edgewater Markets Limited
Mr Steven Anthony Brodie
SMF16 Compliance Oversight
Firm
Fig Markets Limited
Annabel Heaney
SMF16 Compliance Oversight
Firm
Revolut Trading Ltd
Christopher Kiew-Smith
SMF16 Compliance Oversight
Firm
Galaxy Digital UK Limited
Mr David Julian Wadsworth
SMF16 Compliance Oversight
Firm
Bluebell Capital Limited
Ms Tracy Anne Mills
SMF16 Compliance Oversight
Firm
Clear Street UK Limited
Mrs Ann-Marie Frances Bull
SMF16 Compliance Oversight
Firm
Marex Capital Markets Inc
Mrs Thomasina Katherine McGuigan
SMF16 Compliance Oversight
Firm
Lightyear U.K. Ltd
John Patrick Trears
SMF16 Compliance Oversight
Firm
Magen Financial LLP
Ms Shariffa Shakila Syed Mubarak
SMF16 Compliance Oversight
Firm
GTN Europe Financial Services Limited
Mr Chris Jackson
SMF16 Compliance Oversight
Firm
OptAxe Limited
Gerard Hurley
SMF16 Compliance Oversight
Firm
Bound Rates Limited
Mr Barry Graeme Wainwright
SMF16 Compliance Oversight
Firm
Tradition Securities and Futures
Mr Simon Charles Henry
SMF16 Compliance Oversight
Firm
NCM FINANCIAL UK LTD
Ms Julia Free
SMF16 Compliance Oversight
Firm
CMC Markets Investments Limited
Mr Darryl Reed
SMF16 Compliance Oversight
Firm
Nuevo Partners UK LLP
Mr Ross Anthony Revell
SMF16 Compliance Oversight
Firm
Arrow Energy Markets (UK) Limited
Mr Noel Tin
SMF16 Compliance Oversight
Firm
APERTURE-FX LTD
Mrs Katie Angela Mundell
SMF16 Compliance Oversight
Firm
Stonehage Fleming Dealing and Treasury Services (UK) Limited
Mr Michael Anthony Roberts
SMF16 Compliance Oversight
Firm
Virtu Europe Trading Limited
Mr Martin Robert John Oakley
SMF16 Compliance Oversight
Firm
360 Trading Networks UK Limited
Mr ERNEST UHUMWEKPEMA IGBINOSUN
SMF16 Compliance Oversight
Firm
Tradeweb Execution Services Limited
Mr Nicholas Rhys Nash Lygoe
SMF16 Compliance Oversight
Firm
Bright Point International Financial (UK) Limited
Mr Scott Ian Mordrick
SMF16 Compliance Oversight
Firm
BARRAS CAPITAL MANAGEMENT PLC
Mr Jeremiah Bradley
SMF16 Compliance Oversight
Firm
Goodbody Stockbrokers Unlimited Company
Miss Abigail Imogen Leighton
SMF16 Compliance Oversight
Firm
Webull Securities (UK) Ltd
Mr ADAM BEAGER
SMF16 Compliance Oversight
Firm
Kepler Cheuvreux
Mr Glen Ward
SMF16 Compliance Oversight
Firm
Multi Asset Solutions Limited
Mr David Andrew Barrett
SMF16 Compliance Oversight
Firm
EBC Financial Group (UK) Ltd
Frances Rachel Hurley
SMF16 Compliance Oversight
Firm
Eightcap Group Ltd
Mr David Meinhart
SMF16 Compliance Oversight
Firm
Eclipse Brokerage Services Limited
Director Peter George Brooker
SMF16 Compliance Oversight
Firm
Hythe Bay Metals Limited
Director Eduardo Antonio De Amador
SMF16 Compliance Oversight
Firm
Stag Securities Ltd
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