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 Stephen Holmes
SMF16 Compliance Oversight
Firm
PLU Wealth (UK) Ltd
Mr David Paul Horowitz
SMF16 Compliance Oversight
Firm
Gerald Edelman Wealth Limited
William Giles Temple-Smith
SMF16 Compliance Oversight
Firm
One Rock Capital Partners LLP
Mrs Hayley Jaggers
SMF16 Compliance Oversight
Firm
Automatic Enrolment Solutions Limited
Ms Joanna Alison Scott
SMF16 Compliance Oversight
Firm
KINGSROCK ADVISORS UK LIMITED
Nimish Hiralal Shah
SMF16 Compliance Oversight
Firm
Norddeutsche Landesbank Girozentrale
Mr Richard Baker
SMF16 Compliance Oversight
Firm
Huntswood CTC Limited
Mr Gary Slater
SMF16 Compliance Oversight
Firm
Pegasus Wealth Limited
Mr Peter Richard Schulze
SMF16 Compliance Oversight
Firm
AVC Health
Mr Robert Seymour
SMF16 Compliance Oversight
Firm
Wealth and Mortgage Advice Ltd
Mr Cem Topaloglu
SMF16 Compliance Oversight
Firm
Moto Car Finance Ltd
Mr Christopher Patrick Morrison
SMF16 Compliance Oversight
Firm
MGY Management Services Limited
Ms Shelley Brennan
SMF16 Compliance Oversight
Firm
Digital Broker Limited
Mr Philip James Walker
SMF16 Compliance Oversight
Firm
Moore Walker Partners Ltd
Mr Vishal Nathulal
SMF16 Compliance Oversight
Firm
Infinite Finance London Limited
Miss Emma Louise Alderton
SMF16 Compliance Oversight
Firm
Fundi Commercial Finance Limited
Mr Alexander Christoffer Soderman
SMF16 Compliance Oversight
Firm
PLUG CAPITAL LTD
Kate Dean
SMF16 Compliance Oversight
Firm
Financial & Risk Transaction Services Ireland Limited (UK Branch)
Mr David Pearce
SMF16 Compliance Oversight
Firm
FC GROUP HOLDING LTD.
Mr Paul James Saville
SMF16 Compliance Oversight
Firm
One Financial Solutions Limited
George Harakis
SMF16 Compliance Oversight
Firm
Ardea Investment Management (UK) Limited
Mr Hayden David Tennant
SMF16 Compliance Oversight
Firm
Credit and Surety Brokers Limited
Mr Julius Magada Peralta
SMF16 Compliance Oversight
Firm
JMP Mortgage and Protection Ltd
Mr Christopher Jon Poore
SMF16 Compliance Oversight
Firm
Kingston Mortgages Limited
Mr Richard O'Brien
SMF16 Compliance Oversight
Firm
Merlin Ins Ltd
Ms Patience Kayesu
SMF16 Compliance Oversight
Firm
Odin Capital Limited
Mr Keith Hamish Miller
SMF16 Compliance Oversight
Firm
Capital Managers Financial Planning Ltd
Mr Andrew Maguire
SMF16 Compliance Oversight
Firm
PROGRESSIVE INSURANCE & MORTGAGES LIMITED
Mr Jeffrey Grantham
SMF16 Compliance Oversight
Firm
Smailes Goldie Financial Management Limited
Mr Christopher Paul Griffith Welsh
SMF16 Compliance Oversight
Firm
Universum Wealth Ltd
Mr Viren Patel
SMF16 Compliance Oversight
Firm
Pinpoint UK Solutions LTD
Frances Parkinson
SMF16 Compliance Oversight
Firm
Arrow Energy Markets (UK) Limited
Mr Paul Benjamin Buckley
SMF16 Compliance Oversight
Firm
Buckley Financial Services Limited
Mr Blaise Peter Davies
SMF16 Compliance Oversight
Firm
Neptune Wealth Management Limited
Mr Faraz Ahmed
SMF16 Compliance Oversight
Firm
EXCLUSIVE CAR FINANCE LIMITED
Mr Barry John Connolly
SMF16 Compliance Oversight
Firm
NISBLF III LP
Ms Lorraine Pamela Mullins
SMF16 Compliance Oversight
Firm
Kinetic Insurance Services Limited
Mr Finlay Grant Stewart MacLennan
SMF16 Compliance Oversight
Firm
Maclennan Wealth Management Ltd
Mr Christopher Menon
SMF16 Compliance Oversight
Firm
KYNANCE COVE CAPITAL LLP
Jonathan Andrew Knight Cummins
SMF16 Compliance Oversight
Firm
Kanou Capital LLP
Mr Waqas Zahir Khan
SMF16 Compliance Oversight
Firm
UK Financial Solutions Limited
Mr Kevin Mark Hollister
SMF16 Compliance Oversight
Firm
Bespoke Retirements Limited
Mr Farhad Mirzayev
SMF16 Compliance Oversight
Firm
Zenith Investment Management Ltd
Mr Neil Stuart Ross Grant
SMF16 Compliance Oversight
Firm
ABEX UK Derivatives Limited
Mr Andrew John Ford
SMF16 Compliance Oversight
Firm
Martens and Prahl International (UK Branch) Ltd
Mr Alejandro Olvera
SMF16 Compliance Oversight
Firm
Renkoedge Ltd
Ms Avril Chisholm Millar
SMF16 Compliance Oversight
Firm
Arkaim Advisors Ltd
Mr Paul Kingsley
SMF16 Compliance Oversight
Firm
MA Corporate Finance Ltd
Mrs Alison Armstrong
SMF16 Compliance Oversight
Firm
GHO Capital Partners Advisory Ltd.
Mr Malcolm Ian Goddard
SMF16 Compliance Oversight
Firm
Leeside Capital Partners LLP
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