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 Mark William Ross
SMF16 Compliance Oversight
Firm
CHANCERY RISK ASSOCIATES LIMITED
Natalie Rose D'Ambrosio
SMF16 Compliance Oversight
Firm
AdA Underwriters Limited
Mr Sandip Solanki
SMF16 Compliance Oversight
Firm
Private Health Partners Limited
Joanne Backshall
SMF16 Compliance Oversight
Firm
Augment Risk UK Trading Limited
Mr Paul Comley
SMF16 Compliance Oversight
Firm
FOREST OAKS GROUP INSURED LIMITED
Mr Ehsan Attiq
SMF16 Compliance Oversight
Firm
Bee Compared Ltd
Mr Rupert Ratcliffe
SMF16 Compliance Oversight
Firm
Ratcliffes Property Investors LLP
Mr Richard Baker
SMF16 Compliance Oversight
Firm
Huntswood CTC Limited
Mr Peter Richard Schulze
SMF16 Compliance Oversight
Firm
AVC Health
Ms Shelley Brennan
SMF16 Compliance Oversight
Firm
Digital Broker Limited
Mr Hayden David Tennant
SMF16 Compliance Oversight
Firm
Credit and Surety Brokers Limited
Mr Richard O'Brien
SMF16 Compliance Oversight
Firm
Merlin Ins Ltd
Mr Viren Patel
SMF16 Compliance Oversight
Firm
Pinpoint UK Solutions LTD
Ms Lorraine Pamela Mullins
SMF16 Compliance Oversight
Firm
Kinetic Insurance Services Limited
Mr Andrew John Ford
SMF16 Compliance Oversight
Firm
Martens and Prahl International (UK Branch) Ltd
Ms Alyssa Jane Long
SMF16 Compliance Oversight
Firm
USAA EU DAC UK Branch
Mr Toby Anthoney Mills
SMF16 Compliance Oversight
Firm
Westfield Specialty International (Europe) S.A.
Mr Imad Butt
SMF16 Compliance Oversight
Firm
RRELENTLESS LIMITED
Mr DANIEL GORDON COLLINGTON
SMF16 Compliance Oversight
Firm
PETS INSURANCE SERVICES LIMITED
Mr Darren Hollinshead
SMF16 Compliance Oversight
Firm
WIGHTWICK RISK MANAGEMENT LIMITED
Mr Conrado Chaves
SMF16 Compliance Oversight
Firm
TIDE INSURANCE SERVICES LIMITED
Mr STUART ROBERT HENDY
SMF16 Compliance Oversight
Firm
TESHA FAMILY LTD
Mr Elchonon Rothbart
SMF16 Compliance Oversight
Firm
Wellgate Care Services Ltd
Mr Christopher Kelly
SMF16 Compliance Oversight
Firm
Scorpius MGA Limited
Mr Gustavo Pregoni
SMF16 Compliance Oversight
Firm
Probus Insurance Company Europe DAC - UK Branch
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
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