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 Hicks
SMF16 Compliance Oversight
Firm
Lumint UK Limited
Mrs Lai Man Chow
SMF16 Compliance Oversight
Firm
Selaris Capital Ltd
Mr David Jonathan Poole
SMF16 Compliance Oversight
Firm
OTCX Trading Limited
Mr Colin Iles
SMF16 Compliance Oversight
Firm
Zephyr Private Wealth LLP
Mr Doug Anderson
SMF16 Compliance Oversight
Firm
Canyon Capital Advisors (UK) LLP
Mr Timothy Charles Neale
SMF16 Compliance Oversight
Firm
INDEXTRA SOLUTIONS LIMITED
Mr Stuart Vockins
SMF16 Compliance Oversight
Firm
Wesleyan Financial Investments Limited
Oliver Adams
SMF16 Compliance Oversight
Firm
Camco Management Limited
Mrs Katherine Mary Frangoullis
SMF16 Compliance Oversight
Firm
Wales Pension Partnership Investment Management Company Limited
Emma Pollard
SMF16 Compliance Oversight
Firm
Odin Partnership Limited
Mr Edward James Foxon
SMF16 Compliance Oversight
Firm
Vitruvian Managers Limited
Marco Sportelli
SMF16 Compliance Oversight
Firm
Mediobanca - Banca Di Credito Finanziario S.P.A.
Deepa Lad
SMF16 Compliance Oversight
Firm
Ctrl Alt Ltd
OLIVER THOMAS KENYON
SMF16 Compliance Oversight
Firm
RTW Global Investments Ltd.
Adam Ludwiczak
SMF16 Compliance Oversight
Firm
MARATHON CAPITAL LTD
Robert Arthur John Power
SMF16 Compliance Oversight
Firm
Computershare Trust Company, National Association London Branch
Darragh Patrick Geraghty
SMF16 Compliance Oversight
Firm
Upvest Securities Ltd
Mr Simon Andrew Sherski
SMF16 Compliance Oversight
Firm
Vontobel Asset Management S.A.
James Tobias Henley-Royse
SMF16 Compliance Oversight
Firm
Octopus Money Platform Limited
Samir Maini
SMF16 Compliance Oversight
Firm
Convera UK Financial Limited
Niall Coates
SMF16 Compliance Oversight
Firm
Haverstock Capital LLP
Miss Charlotte Elizabeth Saker
SMF16 Compliance Oversight
Firm
DELTA SECURITIES LIMITED
Mr Andrew John Gummer
SMF16 Compliance Oversight
Firm
Wyddial Capital Management LLP
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
Savvakis Ioannou
SMF16 Compliance Oversight
Firm
EBC Financial Group (UK) Ltd
Mr Jeremy John Woodgate
SMF16 Compliance Oversight
Firm
Baron Securities 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
Mr Dominic Barnard
SMF16 Compliance Oversight
Firm
Backed LLP
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
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
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
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