MARK BATES LIMITED

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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.

Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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 Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Credit Brokering
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Consumer Loans
Loan Servicing
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

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

Louise Sarah Coward
IRN LSC01029
- CF1 Director (AR) (16 May 2005 to 11 Jun 2009)
Louise Sumner
IRN LXS01853
- CF1 Director (AR) (13 Jul 2016 to 28 Oct 2016)
Lucy Fullard
IRN LXF00208
- CF1 Director (AR) (since 18 Sep 2023)
Lynda Anne Hamilton-Harris
IRN LAH01075
- CF1 Director (AR) (20 Jul 2006 to 9 May 2011)
Lynden Elsie Betteley
IRN LEB01062
- CF1 Director (AR) (since 17 Sep 2016)
Lynne Kathryn Murphy
IRN LKM01026
- CF1 Director (AR) (24 Apr 2014 to 28 Jan 2015)
Malcolm John Harrison
IRN MJH01565
- CF1 Director (AR) (12 Oct 2009 to 4 Sep 2018)
Malcom Edwin Drury
IRN MED01057
- CF1 Director (AR) (17 Feb 2005 to 27 Feb 2013)
Malcom Geoffrey Briggs
IRN MGB01141
- CF4 Partner (AR) (3 Nov 2010 to 19 Dec 2013)
Mandy Catherine Ross
IRN MCR01143
- CF1 Director (AR) (4 Dec 2017 to 28 Mar 2022)

Smaller firms operating under this firm's FCA authorisation.

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.