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
William Giles Temple-Smith
SMF16 Compliance Oversight
Firm
One Rock Capital Partners LLP
Nimish Hiralal Shah
SMF16 Compliance Oversight
Firm
Norddeutsche Landesbank Girozentrale
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.
George Harakis
SMF16 Compliance Oversight
Firm
Ardea Investment Management (UK) Limited
Mr Christopher Paul Griffith Welsh
SMF16 Compliance Oversight
Firm
Universum Wealth Ltd
Frances Parkinson
SMF16 Compliance Oversight
Firm
Arrow Energy Markets (UK) 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 Alejandro Olvera
SMF16 Compliance Oversight
Firm
Renkoedge Ltd
Ms Avril Chisholm Millar
SMF16 Compliance Oversight
Firm
Arkaim Advisors 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
Iain Colquhoun
SMF16 Compliance Oversight
Firm
Swix Family Office UK Limited
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
Richard Paul Williams
SMF16 Compliance Oversight
Firm
Grantabridge Research Limited
Andrew Driver
SMF16 Compliance Oversight
Firm
Webull Securities (UK) Ltd
Mr Ross Stewart McPhail
SMF16 Compliance Oversight
Firm
Lulworth Investment Management Limited
Mr Lee Bowyer
SMF16 Compliance Oversight
Firm
Ctrl Alt Ltd
John Gordon Douthwaite
SMF16 Compliance Oversight
Firm
Freyr Investment Management Limited
Benjamin Churchill
SMF16 Compliance Oversight
Firm
Aeon Investments Limited
Thomas John Kingston
SMF16 Compliance Oversight
Firm
CHIP FINANCIAL WEALTH LTD
Robert Daniel Angel
SMF16 Compliance Oversight
Firm
Northern Trust Investor Services Limited
Mr James Peterson
SMF16 Compliance Oversight
Firm
Portfolio Advisors Capital UK, Ltd
Jasmine Booth
SMF16 Compliance Oversight
Firm
IG Trading and Investments Limited
Mr Nicholas Ian Roe
SMF16 Compliance Oversight
Firm
LAMBOURN CAPITAL LTD
Levinus Jakob Hengst
SMF16 Compliance Oversight
Firm
Flow Traders London Ltd
Mr Raymond Wilson
SMF16 Compliance Oversight
Firm
InstantiaPay Limited
Ms Myriam Zandonini
SMF16 Compliance Oversight
Firm
ACG Advisors Group (UK) Limited
Mr David Mishoe
SMF16 Compliance Oversight
Firm
CABRERA CAPITAL UK LTD
Victoria Ann Moffatt
SMF16 Compliance Oversight
Firm
Ptarmigan Capital Limited
Tzun-han Yeh
SMF16 Compliance Oversight
Firm
Bondsmith Savings Ltd
Mr Carl Williams
SMF16 Compliance Oversight
Firm
Capitolis UK Limited
Mr Peter Mark Harris
SMF16 Compliance Oversight
Firm
HRANDP Ltd
Mr Gidon Jonathan Said
SMF16 Compliance Oversight
Firm
Novara Wealth 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 Callan James Boyle
SMF16 Compliance Oversight
Firm
Rosencroft Capital Management Limited
Robert Duncan Donald
SMF16 Compliance Oversight
Firm
Bullseye Financial Ltd
Mr Cameron Ramsay
SMF16 Compliance Oversight
Firm
ELMWOOD ASSET MANAGEMENT UK LIMITED
Francis Keith Jarman
SMF16 Compliance Oversight
Firm
Renaissance Financial Ltd
Vesela Marcheva
SMF16 Compliance Oversight
Firm
Parvus Asset Management (Services) LLP
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
FAQ
Explore related pages across the public directory.