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
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
Forset 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
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
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
Mr Alexander Lightfoot
SMF16 Compliance Oversight
Firm
BRIDGEWICK PARTNERS LIMITED
Mr Andrew John Gummer
SMF16 Compliance Oversight
Firm
Wyddial Capital Management LLP
Mr Rishi Ganess Baungally
SMF16 Compliance Oversight
Firm
THE BROKER HOUSE (OMC) LTD
Mr Ali Erdem
SMF16 Compliance Oversight
Firm
LTC Invest Ltd
Mr Aaron Carey
SMF16 Compliance Oversight
Firm
Preservoir Ltd
Mr Alkesh Mistry
SMF16 Compliance Oversight
Firm
PTUK Limited
Mr Dominic Patrick McLoughney
SMF16 Compliance Oversight
Firm
BECKETTS WEALTH LIMITED
Mr Peter Joan Macdonald
SMF16 Compliance Oversight
Firm
Premiere Finance Limited
Savvakis Ioannou
SMF16 Compliance Oversight
Firm
EBC Financial Group (UK) Ltd
Mr Paul Kirby
SMF16 Compliance Oversight
Firm
ZINC INVESTMENT MANAGEMENT LLP
Mr Jonathan Adrian Deane
SMF16 Compliance Oversight
Firm
Steadfast Specialist Finance Limited
Mr Jeremy John Woodgate
SMF16 Compliance Oversight
Firm
Baron Securities Ltd
Mr Peter Baker
SMF16 Compliance Oversight
Firm
Path Mortgages Ltd
Ms Emily Gray Knaggs
SMF16 Compliance Oversight
Firm
CB Payments, Ltd
Mr Michael Gerard Collins
SMF16 Compliance Oversight
Firm
WealthVector Limited
Mr Thomas Jacob Jackson
SMF16 Compliance Oversight
Firm
Round Financial Limited
Renata Maria O'Donnell
SMF16 Compliance Oversight
Firm
Torch Partners IB Limited
Miss Gail Esther Reid
SMF16 Compliance Oversight
Firm
Gail Reid Mortgage Services Ltd
Mr Rupert Ratcliffe
SMF16 Compliance Oversight
Firm
Ratcliffes Property Investors LLP
Mr Dominic Barnard
SMF16 Compliance Oversight
Firm
Backed LLP
Mr Luca Pollard
SMF16 Compliance Oversight
Firm
Auto's RS Ltd
Mr Matthew Robert David Taylor
SMF16 Compliance Oversight
Firm
M6 Mortgage Advice Ltd
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
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