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
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 Nicholas Ian Roe
SMF16 Compliance Oversight
Firm
LAMBOURN CAPITAL 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 Adam Michael Davies
SMF16 Compliance Oversight
Firm
Haverstock Capital LLP
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
John William Prosser
SMF16 Compliance Oversight
Firm
Roscommon Analytics UK 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
Ms Sarah Gledhill
SMF16 Compliance Oversight
Firm
Climate Asset 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
David McWhir
SMF16 Compliance Oversight
Firm
Octopus Money Platform Limited
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
Mr Miles Philip Harris Cohen
SMF16 Compliance Oversight
Firm
Green Ash Partners Investment Management 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
Saiful Khan
SMF16 Compliance Oversight
Firm
Vontobel Asset Management S.A.
Owen Jonathon Sharp
SMF16 Compliance Oversight
Firm
Freyr Investment Management Limited
Mr James Kasmarcik
SMF16 Compliance Oversight
Firm
Silver Point Europe, LLP
Melwin Mehta
SMF16 Compliance Oversight
Firm
Sterling Investment Management Limited
Mr Eric Alan Anderson
SMF16 Compliance Oversight
Firm
Global Insight Solutions Limited
Sarah Bowe
SMF16 Compliance Oversight
Firm
Gravis Advisory Ltd
Alexander Von Muhlen
SMF16 Compliance Oversight
Firm
Arteqin Capital Limited
Ms Charlotte Louise Watson
SMF16 Compliance Oversight
Firm
Attivo Investments Limited
Mr Dean Weiying Du
SMF16 Compliance Oversight
Firm
Doxa Partners LLP
Sarah Rebecca Rogers
SMF16 Compliance Oversight
Firm
Jain Global (UK) Partners LLP
Robert John Truby
SMF16 Compliance Oversight
Firm
Global X Management Company (UK) Limited
Graeme Robert Pollok
SMF16 Compliance Oversight
Firm
Clever Investment Management Ltd
Clare Louise Nisbet
SMF16 Compliance Oversight
Firm
Robeco Institutional Asset Management UK Limited
Mr Charles Anthony George Hillier
SMF16 Compliance Oversight
Firm
CIBRA Capital Ltd
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