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 Ian Stuart Else
SMF16 Compliance Oversight
Firm
4 Financial Planning Ltd
ELENA VALTORTA
SMF16 Compliance Oversight
Firm
Landesbank Hessen-Thüringen Girozentrale
Mr Geoffrey Peter de Souza
SMF16 Compliance Oversight
Firm
Double Black Partners Limited
Mr Darryl James Kiy
SMF16 Compliance Oversight
Firm
DK Financial Services Ltd
Mr Hamant Lad
SMF16 Compliance Oversight
Firm
Novacore Capital LLP
Oliver John Couzens
SMF16 Compliance Oversight
Firm
Reactive Markets Technologies Limited
Mr Shane James
SMF16 Compliance Oversight
Firm
Bristol and Bath Regional Capital CIC
Mr Christopher Kelly
SMF16 Compliance Oversight
Firm
Scorpius MGA Limited
Mr Mark O'Flaherty
SMF16 Compliance Oversight
Firm
Air Capital Partners Limited
Mr Christopher Gregory
SMF16 Compliance Oversight
Firm
Clairfield Limited
Mr James Welham
SMF16 Compliance Oversight
Firm
EAS Capital Ltd
Mr Callan James Boyle
SMF16 Compliance Oversight
Firm
Rosencroft Capital Management Limited
Mr Paul Fredericks
SMF16 Compliance Oversight
Firm
Diamond Property Finance Limited
Mr John Chadwick
SMF16 Compliance Oversight
Firm
Blackwood Financial Planning Limited
Mr Symren Singh Gharial
SMF16 Compliance Oversight
Firm
A GHARIAL FINANCE SOLUTIONS LIMITED
Mrs Rebecca Elicia Standeven
SMF16 Compliance Oversight
Firm
Dr David Smith Financial Services Ltd
Mrs Hayley Macdonald
SMF16 Compliance Oversight
Firm
Alliance Financial LTD
Mr Patrick Peter James Bullen-Smith
SMF16 Compliance Oversight
Firm
Juno Indemnity Limited
Mr Richard Andrew Causon
SMF16 Compliance Oversight
Firm
Causon Business Finance Limited
Mr Christopher Richard Philcox
SMF16 Compliance Oversight
Firm
Clearly Independent Financial Planning LTD
Mr Kyle Drew
SMF16 Compliance Oversight
Firm
Click Away Finance Ltd
Robert Duncan Donald
SMF16 Compliance Oversight
Firm
Bullseye Financial Ltd
Mr Cameron Ramsay
SMF16 Compliance Oversight
Firm
ELMWOOD ASSET MANAGEMENT UK LIMITED
Mr Kristopher Martin Dabner
SMF16 Compliance Oversight
Firm
KMD Financial Planning LLP
Francis Keith Jarman
SMF16 Compliance Oversight
Firm
Renaissance Financial Ltd
Vesela Marcheva
SMF16 Compliance Oversight
Firm
Parvus Asset Management (Services) LLP
Mr Christopher Robert Bradley
SMF16 Compliance Oversight
Firm
My Time Pension Limited
Mr Dugald Komla Agble
SMF16 Compliance Oversight
Firm
Black Volta Ventures (UK) Limited
Ms Ha-Jin Shin-de Bruchard
SMF16 Compliance Oversight
Firm
IM GLOBAL PARTNER UK LTD
Jodie Blenkharn
SMF16 Compliance Oversight
Firm
Alinor Capital Management LLP
Neal Kalechofsky
SMF16 Compliance Oversight
Firm
Nephila Advisors (UK) Limited
Mr Richard Westwood
SMF16 Compliance Oversight
Firm
RBIM INVESTMENT MANAGEMENT LIMITED
Mr Peter Michael Sugarman
SMF16 Compliance Oversight
Firm
ABEX UK Derivatives Limited
Mr Adam Michael Davies
SMF16 Compliance Oversight
Firm
Haverstock Capital LLP
Mr Rodney John Morgan
SMF16 Compliance Oversight
Firm
Motive UK Advisors LLP
Ms Raxita Kapashi
SMF16 Compliance Oversight
Firm
Blume Equity LLP
Alice Harper
SMF16 Compliance Oversight
Firm
Rothschild & Co Equity Markets Solutions Limited
Mr Eric Maklouf Bensoussan
SMF16 Compliance Oversight
Firm
Bluebridge Asset Management Ltd
Mr Richard Tubey
SMF16 Compliance Oversight
Firm
SGDFS Limited
Nicolas Pascal Tedeschi
SMF16 Compliance Oversight
Firm
Mariana UFP SAS
Mr John Cairnduff
SMF16 Compliance Oversight
Firm
Royal Exchange Investment Management Ltd
Ms Nimika Karadia
SMF16 Compliance Oversight
Firm
Berry Street Capital Management LLP
Mr Jacob Bondzie
SMF16 Compliance Oversight
Firm
CLG Advisors Ltd
Mr Andrew Mark Fouracres
SMF16 Compliance Oversight
Firm
Anand Rathi Wealth UK Limited
Prina Patel
SMF16 Compliance Oversight
Firm
Upvest Securities Ltd
Mr Daniel Nicholas Salt
SMF16 Compliance Oversight
Firm
Apeiron Wealth Management Limited
Christoph Vedral
SMF16 Compliance Oversight
Firm
SCYLD Capital LLP
Mr Stuart Clark MacDonald
SMF16 Compliance Oversight
Firm
RSQ WEALTH MANAGEMENT LIMITED
Nicholas James Tassell
SMF16 Compliance Oversight
Firm
AlpInvest Partners LLP
Mr Alan Dimech
SMF16 Compliance Oversight
Firm
Marco Insurance PCC Limited - UK Branch
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