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
Firm
Selaris Capital Ltd
Mr David Jonathan Poole
SMF16 Compliance Oversight
Firm
OTCX Trading Limited
Mr Martin Jackson
SMF16 Compliance Oversight
Firm
Method Financial Planning Limited
Mr Colin Iles
SMF16 Compliance Oversight
Firm
Zephyr Private Wealth LLP
Mr Sandip Solanki
SMF16 Compliance Oversight
Firm
Private Health Partners Limited
Ms Katie Shepherd
SMF16 Compliance Oversight
Firm
ARROW GLOBAL ADVISER LIMITED
Ms Monika Katarzyna Gudz
SMF16 Compliance Oversight
Firm
MG FINANCIAL SERVICES ( PVT) LTD
Mr Stephen James Willis
SMF16 Compliance Oversight
Firm
Willis & Company (Financial Services) Limited
Mr Simon Puleston
SMF16 Compliance Oversight
Firm
Puleston Wealth Management Ltd
Mr Doug Anderson
SMF16 Compliance Oversight
Firm
Canyon Capital Advisors (UK) LLP
Mr Jonathan Harry Andy Clements
SMF16 Compliance Oversight
Firm
Clements Financial Ltd
Joanne Backshall
SMF16 Compliance Oversight
Firm
Augment Risk UK Trading Limited
Mr Matthew Richard Hutson
SMF16 Compliance Oversight
Firm
H C James Wealth Management Limited
Mr Christopher Simmonds
SMF16 Compliance Oversight
Firm
Red Squirrel Leasing Ltd
Mr Timothy Charles Neale
SMF16 Compliance Oversight
Firm
INDEXTRA SOLUTIONS LIMITED
Mr Matthew Griffin
SMF16 Compliance Oversight
Firm
89 Advisory Ltd
Mr Stuart Vockins
SMF16 Compliance Oversight
Firm
Wesleyan Financial Investments Limited
Mr Andrew Stevens
SMF16 Compliance Oversight
Firm
More Than Money Limited
Oliver Adams
SMF16 Compliance Oversight
Firm
Camco Management Limited
Mrs Katherine Mary Frangoullis
SMF16 Compliance Oversight
Firm
Wales Pension Partnership Investment Management Company Limited
Emma Pollard
SMF16 Compliance Oversight
Firm
Odin Partnership Limited
Mr Edward James Foxon
SMF16 Compliance Oversight
Firm
Vitruvian Managers Limited
Mr Richard John Neilson
SMF16 Compliance Oversight
Firm
Smiths Financial Solutions Ltd
Miss Charlotte Field
SMF16 Compliance Oversight
Firm
OF Financial Management Ltd
Marco Sportelli
SMF16 Compliance Oversight
Firm
Mediobanca - Banca Di Credito Finanziario S.P.A.
Mr Laurence Penn
SMF16 Compliance Oversight
Firm
YOUR FINANCIAL ASSURANCE LTD
Deepa Lad
SMF16 Compliance Oversight
Firm
Ctrl Alt Ltd
OLIVER THOMAS KENYON
SMF16 Compliance Oversight
Firm
RTW Global Investments Ltd.
Mr Randal McLister
SMF16 Compliance Oversight
Firm
Munro Mortgages Limited
Mr Paul Comley
SMF16 Compliance Oversight
Firm
FOREST OAKS GROUP INSURED LIMITED
Mr Claudio Siniscalco
SMF16 Compliance Oversight
Firm
Fiduciary Co-Investment Partners LLP
Mr Mithun Jose
SMF16 Compliance Oversight
Firm
Confident Financial Solutions Ltd
Mr Ehsan Attiq
SMF16 Compliance Oversight
Firm
Bee Compared Ltd
Mr Christopher Howard James
SMF16 Compliance Oversight
Firm
Inflow Capital Management Limited
Adam Ludwiczak
SMF16 Compliance Oversight
Firm
MARATHON CAPITAL LTD
Mr Pierre Gilles Graham
SMF16 Compliance Oversight
Firm
Delfinus Partners Limited
Mr Meir Simcha Eckstein
SMF16 Compliance Oversight
Firm
Simclair Finance Ltd
Mrs Natalie Barlow
SMF16 Compliance Oversight
Firm
Best 4 U Mortgages Ltd
Robert Arthur John Power
SMF16 Compliance Oversight
Firm
Computershare Trust Company, National Association London Branch
Mr Owen James Peden
SMF16 Compliance Oversight
Firm
Peden Knowles Ltd
Darragh Patrick Geraghty
SMF16 Compliance Oversight
Firm
Upvest Securities Ltd
Mr Simon Andrew Sherski
SMF16 Compliance Oversight
Firm
Vontobel Asset Management S.A.
Miss Lisa Claire Sneddon
SMF16 Compliance Oversight
Firm
TWELVE92 PROPERTY FINANCE LIMITED
Mr Christopher John Harper
SMF16 Compliance Oversight
Firm
Hodge MF Limited
Doctor Stephane Robert Mery
SMF16 Compliance Oversight
Firm
EverQuest Capital Partners LLP
James Tobias Henley-Royse
SMF16 Compliance Oversight
Firm
Octopus Money Platform Limited
Samir Maini
SMF16 Compliance Oversight
Firm
Convera UK Financial Limited
Clare Joanne Allen
SMF16 Compliance Oversight
Firm
Heritage Holdings Partners Limited
Niall Coates
SMF16 Compliance Oversight
Firm
Haverstock Capital LLP
Miss Charlotte Elizabeth Saker
SMF16 Compliance Oversight
Firm
DELTA SECURITIES LIMITED
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