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 Kenyon
IRN DXK46418
- CF1 Director (AR) (19 Mar 2020 to 17 Nov 2022)
David Leslie Pickover
IRN DLP01034
- CF4 Partner (AR) (6 Jun 2005 to 5 Jul 2013)
David Martin Hughes
IRN DMH01165
- CF1 Director (AR) (5 Feb 2007 to 9 May 2011)
David Michael Stanton
IRN DXS18081
- CF1 Director (AR) (9 Dec 2019 to 10 Nov 2022)
David Moore
IRN DXM01029
- CF1 Director (AR) (since 29 Apr 2024)
David Patrick Doran
IRN DPD01053
- CF1 Director (AR) (since 3 Jan 2025)
- CF4 Partner (AR) (29 Nov 2005 to 17 Sep 2013)
David Paul Owen
IRN DPO01035
- CF1 Director (AR) (11 Jun 2010 to 26 Aug 2014)
David Paul Wetton
IRN DPW01066
- CF1 Director (AR) (16 Sep 2005 to 24 Nov 2005)
- CF1 Director (14 Jan 2005 to 17 May 2005)
David Penman
IRN DXP01665
- CF1 Director (AR) (21 Dec 2012 to 21 Feb 2013)
David Philip Brand
IRN DPB01160
- CF1 Director (AR) (26 Aug 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.