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
Niall Coates
SMF16 Compliance Oversight
Firm
Haverstock Capital LLP
Jonathan Andrew Knight Cummins
SMF16 Compliance Oversight
Firm
Kanou Capital LLP
Mr Christopher Menon
SMF16 Compliance Oversight
Firm
KYNANCE COVE CAPITAL LLP
Miss Sayuri Ganesarajah
SMF16 Compliance Oversight
Firm
Hivemind Capital Partners UK LLP
Hamant Lad
SMF16 Compliance Oversight
Firm
Novacore Capital LLP
Vesela Marcheva
SMF16 Compliance Oversight
Firm
Parvus Asset Management (Services) LLP
Jodie Blenkharn
SMF16 Compliance Oversight
Firm
Alinor Capital Management LLP
Ms Nimika Karadia
SMF16 Compliance Oversight
Firm
Berry Street Capital Management LLP
Mr Alan Weiss
SMF16 Compliance Oversight
Firm
Centiva Capital UK Ltd
Nicholas John Lewis
SMF16 Compliance Oversight
Firm
Nursery Road Capital Management Limited
Benjamin Michael John Rampton
SMF16 Compliance Oversight
Firm
Valiant Asset Management Ltd
Mr Justin Alan Conway
SMF16 Compliance Oversight
Firm
Kimmik Capital Limited
Miles Philip Harris Cohen
SMF16 Compliance Oversight
Firm
Green Ash Partners Investment Management Limited
Miss Buket Yanar
SMF16 Compliance Oversight
Firm
Impera Capital LLP
Miss Sophie Alice Marie Howard
SMF16 Compliance Oversight
Firm
Eques Investments Ltd
Teresa Durso
SMF16 Compliance Oversight
Firm
Tabula Capital Limited
Mr Antony Beal
SMF16 Compliance Oversight
Firm
Taula Capital Management (UK) LLP
Mr Charles Anthony George Hillier
SMF16 Compliance Oversight
Firm
CIBRA Capital Ltd
Ashley Lorne Glyn Brown
SMF16 Compliance Oversight
Firm
Adelio Partners Limited
Sara Hjortstig
SMF16 Compliance Oversight
Firm
Robocap Asset Management Limited
James David Russell Tanqueray
SMF16 Compliance Oversight
Firm
WALLEYE CAPITAL (UK) LIMITED
Mr David James Roland Sanders
SMF16 Compliance Oversight
Firm
Anchorage Capital Advisors Europe LLP
Mr Jamal Nasir Khan
SMF16 Compliance Oversight
Firm
Hudson Bay Capital UK LLP
Mr Taco Andries Sieburgh-Sjoerdsma
SMF16 Compliance Oversight
Firm
TTX Services UK Limited
Mr Ikenna Igboaka
SMF16 Compliance Oversight
Firm
Odum Research Ltd
Mr Colin Pan
SMF16 Compliance Oversight
Firm
Valence8 LLP
Miss DEEPA JUNEJA
SMF16 Compliance Oversight
Firm
Verition Advisors (UK Partners) LLP
Mrs Sarah Higgins
SMF16 Compliance Oversight
Firm
Pearlstone Alternative (UK) LLP
Mr Michael John Kean
SMF16 Compliance Oversight
Firm
Steel Road Capital UK Ltd
Mrs Jade Ellen Cornell Harber
SMF16 Compliance Oversight
Firm
Point72 Europe (London) LLP
Mr Alexander Semenyaka
SMF16 Compliance Oversight
Firm
ARQuant Management Limited
Mr Paul James Graham
SMF16 Compliance Oversight
Firm
Landseer Asset Management UK LLP
Ms Tanuja Sharma
SMF16 Compliance Oversight
Firm
Citadel Advisors Europe Limited
Edward James Hugo
SMF16 Compliance Oversight
Firm
Kernow Asset Management Limited
Mr Michael James Merritt-Holmes
SMF16 Compliance Oversight
Firm
KVASIR Technologies Ltd
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