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
Mrs Lai Man Chow
SMF16 Compliance Oversight
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Selaris Capital Ltd
Mr Doug Anderson
SMF16 Compliance Oversight
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Canyon Capital Advisors (UK) LLP
Mr Timothy Charles Neale
SMF16 Compliance Oversight
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INDEXTRA SOLUTIONS LIMITED
Oliver Adams
SMF16 Compliance Oversight
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Camco Management Limited
Mrs Katherine Mary Frangoullis
SMF16 Compliance Oversight
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Wales Pension Partnership Investment Management Company Limited
Mr Simon Andrew Sherski
SMF16 Compliance Oversight
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Vontobel Asset Management S.A.
James Tobias Henley-Royse
SMF16 Compliance Oversight
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Octopus Money Platform Limited
Mr Andrew John Gummer
SMF16 Compliance Oversight
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Wyddial Capital Management LLP
Mr Ali Erdem
SMF16 Compliance Oversight
Firm
LTC Invest Ltd
George Harakis
SMF16 Compliance Oversight
Firm
Ardea Investment Management (UK) Limited
Mrs Patience Kafuko
SMF16 Compliance Oversight
Firm
Odin Capital Limited
Ms Avril Chisholm Millar
SMF16 Compliance Oversight
Firm
Arkaim Advisors Ltd
Mr Malcolm Ian Goddard
SMF16 Compliance Oversight
Firm
Leeside Capital Partners LLP
Annabel Lisa Gray
SMF16 Compliance Oversight
Firm
Langley Advisors Limited
Richard Paul Williams
SMF16 Compliance Oversight
Firm
Grantabridge Research Limited
Mr Ross Stewart McPhail
SMF16 Compliance Oversight
Firm
Lulworth Investment Management Limited
Mr Owain Llewelyn Lewis
SMF16 Compliance Oversight
Firm
Jerpoint Capital (UK) Management Ltd
John Gordon Douthwaite
SMF16 Compliance Oversight
Firm
Freyr Investment Management Limited
Benjamin Churchill
SMF16 Compliance Oversight
Firm
Aeon Investments Limited
Mrs Joanne Louise Francis
SMF16 Compliance Oversight
Firm
The Old Masters LLP
Robert Daniel Angel
SMF16 Compliance Oversight
Firm
Northern Trust Investor Services Limited
Mr James Peterson
SMF16 Compliance Oversight
Firm
Portfolio Advisors Capital UK, Ltd
Victoria Ann Moffatt
SMF16 Compliance Oversight
Firm
Ptarmigan Capital Limited
Mr Peter Mark Harris
SMF16 Compliance Oversight
Firm
HRANDP Ltd
Mr Geoffrey Peter de Souza
SMF16 Compliance Oversight
Firm
Double Black Partners Limited
Mr Callan James Boyle
SMF16 Compliance Oversight
Firm
Rosencroft Capital Management Limited
Robert Duncan Donald
SMF16 Compliance Oversight
Firm
Bullseye Financial Ltd
Mr Cameron Ramsay
SMF16 Compliance Oversight
Firm
ELMWOOD ASSET MANAGEMENT UK LIMITED
Mr Richard Westwood
SMF16 Compliance Oversight
Firm
RBIM INVESTMENT MANAGEMENT LIMITED
Mr Eric Maklouf Bensoussan
SMF16 Compliance Oversight
Firm
Bluebridge Asset Management Ltd
Mr John Cairnduff
SMF16 Compliance Oversight
Firm
Royal Exchange Investment Management Ltd
Christoph Vedral
SMF16 Compliance Oversight
Firm
SCYLD Capital LLP
Mr Thomas Douglas Martin Stephenson
SMF16 Compliance Oversight
Firm
Skymont Investment Solutions Limited
Benjamin Paul Wythe
SMF16 Compliance Oversight
Firm
Sentinel Portfolio Management Limited
Mr Benjamin Charles Alan Minett
SMF16 Compliance Oversight
Firm
ThreadPoint Capital Partners Ltd
Mr Eric Joseph Debray
SMF16 Compliance Oversight
Firm
Gallium Investment Partners Ltd
Mr David Anthony Michael Ward
SMF16 Compliance Oversight
Firm
Keyridge Asset Management Limited
Mr Stephen Robert Cork
SMF16 Compliance Oversight
Firm
Cork Gully Asset Managers Limited
Mr Martim Jose Acciaioli De Avillez Corsino Caldeira
SMF16 Compliance Oversight
Firm
Limerston Capital Partners Limited
Gareth John Hope
SMF16 Compliance Oversight
Firm
Magnus Financial Discretionary Management Limited
Mr Christopher Wilson
SMF16 Compliance Oversight
Firm
Corinthia UK Management Limited
Nina Gupta
SMF16 Compliance Oversight
Firm
RS Investments (UK) Limited
Lisa Bollard
SMF16 Compliance Oversight
Firm
Cloud Capital LLP
Efstratios Kamatsos
SMF16 Compliance Oversight
Firm
Tower Peak Partners UK LLP
Mrs Amelia Fleur Michie
SMF16 Compliance Oversight
Firm
Como Capital Limited
Mr Mazhar Manzoor
SMF16 Compliance Oversight
Firm
MOMENTUM INVESTMENT MANAGEMENT LIMITED
Mr Thomas Grenville
SMF16 Compliance Oversight
Firm
Jefferies Credit Partners Europe Limited
Mrs Amelia Fleur Michie
SMF16 Compliance Oversight
Firm
Compound Equity Group Limited
Mrs Alethea Ann Nugent
SMF16 Compliance Oversight
Firm
Brickwood Asset Management LLP
Mr James Kasmarcik
SMF16 Compliance Oversight
Firm
Silver Point Europe, LLP
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