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 Christopher Kelly
SMF16 Compliance Oversight
Firm
Scorpius MGA Limited
Mrs Hayley Macdonald
SMF16 Compliance Oversight
Firm
Alliance Financial LTD
Mr Patrick Peter James Bullen-Smith
SMF16 Compliance Oversight
Firm
Juno Indemnity Limited
Mr Alan Dimech
SMF16 Compliance Oversight
Firm
Marco Insurance PCC Limited - UK Branch
Mr Jonathan Alexander Viveash-Green
SMF16 Compliance Oversight
Firm
Willis Re (UK) Limited
David Alan Smith
SMF16 Compliance Oversight
Firm
Junge & Co. Versicherungsmakler GmbH
David Alan Smith
SMF16 Compliance Oversight
Firm
Gunther Lubsen GmbH
Mr John Lotterhos
SMF16 Compliance Oversight
Firm
Sutherland Global Financial Services UK Ltd
Lord Aaron Anderson
SMF16 Compliance Oversight
Firm
QUANTUM PROTECT Ltd
Mr Jugminder Singh
SMF16 Compliance Oversight
Firm
ACRISURE RE CORPORATE ADVISORY & SOLUTIONS LIMITED
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