Bates Weston Corporate Finance LLP

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Eligible Counterparty, Professional
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Senior staff personally approved by the FCA to hold their roles here.

. Bates Weston Audit Ltd
IRN XXB01174
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (22 Jun 2017 to 8 Dec 2019)
Chris Glanville Jones
IRN CGJ01013
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (22 Jun 2017 to 8 Dec 2019)
- CF30 Customer (22 Jun 2017 to 8 Dec 2019)
Glyn Evans
IRN GXE01111
- SMF27 Partner (9 Dec 2019 to 1 Mar 2021)
- CF4 Partner (22 Jun 2017 to 8 Dec 2019)
Ian Keith Neal
IRN IKN01003
- CF4 Partner (22 Jun 2017 to 6 Apr 2018)
Wayne Douglas Thomas
IRN WDT01013
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- CF10 Compliance Oversight (22 Jun 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (22 Jun 2017 to 8 Dec 2019)
- CF4 Partner (22 Jun 2017 to 8 Dec 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.