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.

Simon Jeremy Holt
IRN SJH00007
- CF1 Director (AR) (29 Jul 2013 to 26 Jun 2014)
Simon Mark Sverdloff
IRN SMS01172
- CF1 Director (AR) (13 May 2005 to 9 May 2011)
- Responsible for Insurance Mediation (13 May 2005 to 13 May 2005)
Simon Mark Wardle-Millar
IRN SMW01165
- CF1 Director (AR) (11 Apr 2005 to 18 May 2020)
Simon Nicholas Pellecchia
IRN SNP01041
- CF1 Director (AR) (16 Dec 2008 to 9 May 2014)
Simon Oakes
IRN SXO01139
- SMF16 Compliance Oversight (since 14 Feb 2024)
- Responsible for Insurance Distribution (since 14 Feb 2024)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (14 Jan 2005 to 8 Dec 2019)
Simon Paddock
IRN SXP02065
- CF1 Director (AR) (31 Oct 2012 to 25 Jul 2018)
Simon Pickford
IRN SXP01528
- CF1 Director (AR) (14 Jan 2005 to 19 Mar 2007)
Simon Smith
IRN SXS02977
- CF1 Director (AR) (16 May 2012 to 1 Oct 2020)
Simon Spencer West
IRN SSW01030
- CF1 Director (AR) (20 Jun 2019 to 24 Jan 2025)
Simon Thompson
IRN SXT01829
- CF1 Director (AR) (1 Oct 2014 to 9 Nov 2016)

Smaller firms operating under this firm's FCA authorisation.

Eden Mobility Ltd (no longer appointed)
FRN 418593 · Appointed 10 Jun 2022 · Until 29 Nov 2023
Jacob Anderson Limited (no longer appointed)
FRN 825672 · Appointed 20 Apr 2022 · Until 15 Jan 2025
James Furniture & Mobility Limited (no longer appointed)
FRN 915913 · Appointed 25 Mar 2022 · Until 21 Nov 2024
Focus HR Support Ltd (no longer appointed)
FRN 971837 · Appointed 11 Mar 2022 · Until 7 Nov 2024
Osteopoise Healthcare Limited (no longer appointed)
FRN 429803 · Appointed 10 Mar 2022 · Until 20 Dec 2024
Ross Auto Engineering Limited (no longer appointed)
FRN 434000 · Appointed 8 Mar 2022 · Until 2 Jan 2025
SRC Time Ltd (no longer appointed)
FRN 946244 · Appointed 23 Feb 2022 · Until 2 Feb 2023
Dickson Direct Ltd (no longer appointed)
FRN 967077 · Appointed 7 Jan 2022 · Until 21 Nov 2024
Countrywide Healthcare Supplies Limited (no longer appointed)
FRN 967076 · Appointed 7 Jan 2022 · Until 22 Jan 2025
Steway Services Ltd (no longer appointed)
FRN 956350 · Appointed 9 Aug 2021 · Until 24 Jan 2025

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.