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 Cem Topaloglu
SMF16 Compliance Oversight
Firm
Moto Car Finance Ltd
Mr Ben Raincock
SMF16 Compliance Oversight
Firm
ICC Automotive ltd
Mrs Karen Lodder
SMF16 Compliance Oversight
Firm
TFBN Services Limited
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
Mr Toby Anthoney Mills
SMF16 Compliance Oversight
Firm
Westfield Specialty International (Europe) S.A.
Mrs Joanne Louise Francis
SMF16 Compliance Oversight
Firm
The Old Masters LLP
Mr Imad Butt
SMF16 Compliance Oversight
Firm
RRELENTLESS LIMITED
Robert Daniel Angel
SMF16 Compliance Oversight
Firm
Northern Trust Investor Services Limited
Mr James Peterson
SMF16 Compliance Oversight
Firm
Portfolio Advisors Capital UK, Ltd
Mr DANIEL GORDON COLLINGTON
SMF16 Compliance Oversight
Firm
Newco 18102024 Limited
Mr Edward John David Stevens
SMF16 Compliance Oversight
Firm
One Planet Capital Limited
Mr Teon Luc Leggett
SMF16 Compliance Oversight
Firm
Lendese Limited
Jasmine Booth
SMF16 Compliance Oversight
Firm
IG Trading and Investments Limited
Mr Saravanan Velliangattur Senniappan
SMF16 Compliance Oversight
Firm
Prime Key Financial Ltd
Mrs Katherine Norris
SMF16 Compliance Oversight
Firm
PLUG CAPITAL LTD
Mr Siddharth Kapoor
SMF16 Compliance Oversight
Firm
12 Flags Global Limited
Mrs Sarah Grimley
SMF16 Compliance Oversight
Firm
Totality Wealth Limited
Mr Nicholas Ian Roe
SMF16 Compliance Oversight
Firm
LAMBOURN CAPITAL LTD
Levinus Jakob Hengst
SMF16 Compliance Oversight
Firm
Flow Traders London Ltd
Mr Darren Hollinshead
SMF16 Compliance Oversight
Firm
WIGHTWICK RISK MANAGEMENT LIMITED
Mr Raymond Wilson
SMF16 Compliance Oversight
Firm
InstantiaPay Limited
Mr Edoardo Moreni
SMF16 Compliance Oversight
Firm
Emma Technologies LTD
Mr Martin Harvey
SMF16 Compliance Oversight
Firm
Envision Financial Planning Ltd
Mrs Lucy Baldwin
SMF16 Compliance Oversight
Firm
Major Financial Services Ltd
Ms Myriam Zandonini
SMF16 Compliance Oversight
Firm
ACG Advisors Group (UK) Limited
Mr Martin Botha
SMF16 Compliance Oversight
Firm
Wealth Max Limited
Mr Thomas Peter Dobbe
SMF16 Compliance Oversight
Firm
JK Mortgage Brokers Ltd
Mr Steven John McLaren
SMF16 Compliance Oversight
Firm
RED STATION FINANCE LIMITED
Mr David Mishoe
SMF16 Compliance Oversight
Firm
CABRERA CAPITAL UK LTD
Mr James Edward Rawling
SMF16 Compliance Oversight
Firm
JAMES FINANCIAL SERVICES LIMITED
Mr Martin Yau Keung Chan
SMF16 Compliance Oversight
Firm
Comparable LTD
Mr Conrado Chaves
SMF16 Compliance Oversight
Firm
TIDE INSURANCE SERVICES LIMITED
Mr Oleg Krysa
SMF16 Compliance Oversight
Firm
Kinrise Real Estate Ltd
Mr STUART ROBERT HENDY
SMF16 Compliance Oversight
Firm
TESHA FAMILY LTD
Cristobal Guitart Cuart
SMF16 Compliance Oversight
Firm
All Seas Capital Partners Ltd
Mr Russell Vincent Whitefoord
SMF16 Compliance Oversight
Firm
Chiltern Corporation Wealth Limited
Mr Elchonon Rothbart
SMF16 Compliance Oversight
Firm
Wellgate Care Services Ltd
Mr Richard Derek Clayton
SMF16 Compliance Oversight
Firm
Old Royle Wealth Management Limited
Mr David Parker
SMF16 Compliance Oversight
Firm
Firstpoint Healthcare Consultancy Limited
Mr Charles Yim
SMF16 Compliance Oversight
Firm
Anglo & International Corporate Finance, Limited
Victoria Ann Moffatt
SMF16 Compliance Oversight
Firm
Ptarmigan Capital Limited
Mr Darren Ross Hopkins
SMF16 Compliance Oversight
Firm
Richstone Park Financial Planning Limited
Tzun-han Yeh
SMF16 Compliance Oversight
Firm
Bondsmith Savings Ltd
Mr Declan Ward
SMF16 Compliance Oversight
Firm
THE FINANCE WARD LIMITED
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