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 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
Doctor Catherine Jane Fletcher
SMF16 Compliance Oversight
Firm
Science Creates Ventures LLP
Miss Sayuri Ganesarajah
SMF16 Compliance Oversight
Firm
Hivemind Capital Partners UK LLP
Louise Miller
SMF16 Compliance Oversight
Firm
Augment Risk UK Trading Limited
Mr Jenny Rabinov
SMF16 Compliance Oversight
Firm
Stonepeak Partners (UK) LLP
Mr Lee Anthony Joseph Dacosta
SMF16 Compliance Oversight
Firm
Cabvision Capital Limited
Mr Masroor Ahmad
SMF16 Compliance Oversight
Firm
Novum Investment Management Limited
Miss Linda Walker Grier
SMF16 Compliance Oversight
Firm
Money Check Ltd
Iain Colquhoun
SMF16 Compliance Oversight
Firm
Swix Family Office UK Limited
Rene Levesley
SMF16 Compliance Oversight
Firm
Embedded Advice Limited
Mr Glyn Michael Bottomley
SMF16 Compliance Oversight
Firm
Entire Financial Services Ltd
Annabel Lisa Gray
SMF16 Compliance Oversight
Firm
Langley Advisors Limited
Mr Brit Tedesco
SMF16 Compliance Oversight
Firm
INVESTA MARKETS LTD.
Mr Charles James Grime
SMF16 Compliance Oversight
Firm
Hydrogen Equity Partners UK Limited
Mr Marcus Michael Docker
SMF16 Compliance Oversight
Firm
Finaker Finance Limited
Mr Matthew Paveley
SMF16 Compliance Oversight
Firm
Citadel Financial Solutions Limited
Richard Paul Williams
SMF16 Compliance Oversight
Firm
Grantabridge Research Limited
Mr George Sobek
SMF16 Compliance Oversight
Firm
COGNITION VENTURES LIMITED
Mr Michael John Oliver Toole
SMF16 Compliance Oversight
Firm
Real Wealth Partners Ltd
Mr Peter James Blackhall
SMF16 Compliance Oversight
Firm
THE FULL PICTURE FINANCIAL PLANNING LIMITED
Andrew Driver
SMF16 Compliance Oversight
Firm
Webull Securities (UK) Ltd
Mr Patrick John McBurney
SMF16 Compliance Oversight
Firm
Praxis Operator Services (UK) Limited
Mr Ross Stewart McPhail
SMF16 Compliance Oversight
Firm
Lulworth Investment Management Limited
Mr Lee Bowyer
SMF16 Compliance Oversight
Firm
Ctrl Alt Ltd
Mr Alexander William Edward Lane
SMF16 Compliance Oversight
Firm
Fellmont Wealth Ltd
Mrs Gillian Elizabeth Hibbard
SMF16 Compliance Oversight
Firm
Indaba Wealth Management Limited
Mr Daniel Ken Hindmarsh
SMF16 Compliance Oversight
Firm
HINDMARSH BUSINESS FINANCE LTD
Mr David Christopher Hedge
SMF16 Compliance Oversight
Firm
Active Financial Advisers Ltd
Mr Neil Richard Emburey
SMF16 Compliance Oversight
Firm
Embers Wealth Management Ltd
Mr Piyush Patel
SMF16 Compliance Oversight
Firm
Harrington Cooper 2025 LTD
Mr Owain Llewelyn Lewis
SMF16 Compliance Oversight
Firm
Jerpoint Capital (UK) Management Ltd
Mr Benjamin Christian Kennedy Smaje
SMF16 Compliance Oversight
Firm
Kennedy Black Wealth Management Ltd
Matthew Robert Tumbridge
SMF16 Compliance Oversight
Firm
Matthew Tumbridge Financial Advice Ltd
Mr Shane Weatherley
SMF16 Compliance Oversight
Firm
Fynex Finance Limited
Ms Alyssa Jane Long
SMF16 Compliance Oversight
Firm
USAA EU DAC UK Branch
John Gordon Douthwaite
SMF16 Compliance Oversight
Firm
Freyr Investment Management Limited
Mr Ben Raincock
SMF16 Compliance Oversight
Firm
ICC Automotive ltd
Mrs Karen Lodder
SMF16 Compliance Oversight
Firm
TFBN Services Ltd
Mr Matthew Robert Potter
SMF16 Compliance Oversight
Firm
Machine Power Limited
Ms Jasmine Mazza
SMF16 Compliance Oversight
Firm
Heritage Holdings Partners Limited
Benjamin Churchill
SMF16 Compliance Oversight
Firm
Aeon Investments Limited
Mr Douglas James Ryan
SMF16 Compliance Oversight
Firm
Castri WM Limited
Thomas John Kingston
SMF16 Compliance Oversight
Firm
Chip Financial (Investments) Ltd
Mr Marcus Murathan Araz
SMF16 Compliance Oversight
Firm
YATIRIM UK LIMITED
Mr Puneet Mudgal
SMF16 Compliance Oversight
Firm
Cardiff Financial Services Limited
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