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.

Karen Sue Sheppard
IRN KXS02428
- CF1 Director (AR) (18 Oct 2016 to 8 Dec 2019)
Karl Waldegrave
IRN KXW01406
- CF1 Director (AR) (1 Jun 2010 to 17 Aug 2010)
Karl Wiegold
IRN KXW01471
- CF1 Director (AR) (26 Jun 2013 to 13 Aug 2014)
Kathryn Alicia Jackson
IRN KAJ01048
- CF1 Director (AR) (7 Apr 2014 to 21 Jun 2016)
Katie Maria MacKinnon
IRN KMM01134
- CF1 Director (AR) (6 Mar 2017 to 21 Jan 2025)
Kay Towers
IRN KXT01427
- CF1 Director (AR) (3 Oct 2014 to 10 Jan 2025)
Keith Eric Brooks
IRN KEB01035
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
- CF1 Director (AR) (26 Jan 2005 to 10 Jan 2023)
Keith John Manvell
IRN KJM01202
- CF1 Director (AR) (10 Oct 2014 to 6 Jan 2015)
Keith Martin Wells
IRN KMW01055
- CF1 Director (AR) (7 Dec 2005 to 19 Jul 2006)
Keith Michael Wilson
IRN KMW01068
- CF4 Partner (AR) (15 Jun 2009 to 25 Jan 2012)

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.