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 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
Harry Oswell
SMF16 Compliance Oversight
Firm
ADG Verto Advisers LLP
Alan Robert Pennell
SMF16 Compliance Oversight
Firm
IDCM Limited
Michael John Ginnelly
SMF16 Compliance Oversight
Firm
BBB Investment Services Limited
Garry Mark Appleton
SMF16 Compliance Oversight
Firm
Flying Colours Investment Management Limited
Mr Colin James Maclean Nelson
SMF16 Compliance Oversight
Firm
Gateway 21 Limited
Louise Gowland
SMF16 Compliance Oversight
Firm
Northern Trust Investor Services Limited
John William Prosser
SMF16 Compliance Oversight
Firm
Roscommon Analytics UK Limited
Miss Jennifer Rebecca Reichard
SMF16 Compliance Oversight
Firm
OneChronos Markets UK Limited
Mr Benjamin Charles Alan Minett
SMF16 Compliance Oversight
Firm
ThreadPoint Capital Partners Ltd
Abraham Joseph Safdie
SMF16 Compliance Oversight
Firm
Nordstar Partners Management LLP
Mr Eric Debray
SMF16 Compliance Oversight
Firm
Gallium Investment Partners Ltd
Miss Kate Lyon
SMF16 Compliance Oversight
Firm
Ondra UK Limited
Mr Simon Curtis
SMF16 Compliance Oversight
Firm
BestEx Research Ltd
Mr David Anthony Michael Ward
SMF16 Compliance Oversight
Firm
Keyridge Asset Management Limited
Marcus Stephen Iestyn Llewellyn Bonnell
SMF16 Compliance Oversight
Firm
Lockton Re Capital Markets Limited
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