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
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 (Investments) 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
Mr Edward John David Stevens
SMF16 Compliance Oversight
Firm
One Planet Capital Limited
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
Cristobal Guitart Cuart
SMF16 Compliance Oversight
Firm
All Seas Capital Partners 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 Mark O'Flaherty
SMF16 Compliance Oversight
Firm
Air Capital 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
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
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
Prina Patel
SMF16 Compliance Oversight
Firm
Upvest Securities Ltd
Christoph Vedral
SMF16 Compliance Oversight
Firm
SCYLD Capital LLP
Nicholas James Tassell
SMF16 Compliance Oversight
Firm
AlpInvest Partners LLP
Mr Thomas Douglas Martin Stephenson
SMF16 Compliance Oversight
Firm
Skymont Investment Solutions Limited
Benjamin Paul Wythe
SMF16 Compliance Oversight
Firm
Sentinel Portfolio Management Limited
Mr Alan Weiss
SMF16 Compliance Oversight
Firm
Centiva Capital UK Ltd
Mr Benjamin Crossland
SMF16 Compliance Oversight
Firm
Leerink Partners UK Limited
Konstantina Pastellidou
SMF16 Compliance Oversight
Firm
Mexem Financial Services UK Limited
Mr Ramzi Rafih
SMF16 Compliance Oversight
Firm
No Label Ventures Adviser Limited
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