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.

Nicola Kate Rymer
IRN NKR01012
- CF1 Director (AR) (17 Jan 2005 to 9 Jun 2009)
- Responsible for Insurance Mediation (17 Jan 2005 to 17 Jan 2005)
Nicola Louise Hall
IRN NLH01025
- CF1 Director (AR) (13 Mar 2015 to 8 Dec 2019)
Nicola Morgan
IRN NXM01688
- CF1 Director (AR) (22 Nov 2012 to 8 Dec 2019)
Nigel Brian Rosenfeld
IRN NBR01019
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (9 Jun 2018 to 8 Dec 2019)
Nigel Brian Welch
IRN NBW00004
- CF4 Partner (AR) (22 Aug 2005 to 1 Sep 2007)
Nigel Mark Baldwin
IRN NMB01063
- Responsible for Insurance Mediation (17 Jan 2005 to 17 Jan 2005)
- CF4 Partner (AR) (17 Jan 2005 to 15 Dec 2014)
Nigel Philip Doyle
IRN NPD01027
- Responsible for Insurance Mediation (21 Feb 2005 to 21 Feb 2005)
- CF1 Director (AR) (21 Feb 2005 to 30 Apr 2013)
Nigel Swift
IRN NXS01865
- CF1 Director (AR) (28 Aug 2014 to 24 May 2019)
Noel John Kissack
IRN NJK01056
- CF1 Director (AR) (28 Jul 2010 to 7 Oct 2015)
Norman Bowlt
IRN NXB01777
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (13 May 2015 to 8 Dec 2019)

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.