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.

David Henderson
IRN DXH02104
- CF1 Director (AR) (since 27 Jun 2023)
David Hughes
IRN DXH02154
- CF1 Director (AR) (8 Sep 2022 to 29 Nov 2023)
David James Robinson
IRN DJR01334
- CF1 Director (AR) (9 Mar 2016 to 12 Mar 2018)
David John Aldridge
IRN DJA01173
- CF1 Director (AR) (21 May 2014 to 27 Sep 2022)
David John Cartwright
IRN DJC01466
- CF1 Director (AR) (10 Apr 2013 to 8 Dec 2019)
David John Leslie Smith
IRN DJS01356
- CF4 Partner (AR) (26 Jan 2005 to 10 Jul 2006)
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
David John Moses
IRN DJM01624
- CF1 Director (AR) (10 Feb 2014 to 22 Jul 2014)
David John Pye
IRN DJP01134
- CF1 Director (AR) (5 Oct 2006 to 9 Dec 2014)
David John Smith
IRN DXS14910
- CF1 Director (AR) (20 May 2019 to 14 Sep 2020)
David Kenneth Hawkins
IRN DKH01033
- CF1 Director (AR) (4 Nov 2010 to 11 Aug 2014)

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.