Stephanie Amber Croft

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Stephanie Amber Croft

    FRN 451293

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF29 Limited scope function (limited scope SMCR firms only) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Oct 2016)
    • CF8 Apportionment and Oversight (21 Oct 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Oct 2016 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF7 Sole Trader (26 Sep 2006 to 31 Jan 2007)
    • CF11 Money Laundering Reporting (26 Sep 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Sep 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (18 Sep 2006 to 31 Oct 2007)

Recent activity

Updates to this individual's record on the FCA register.

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