MARK BATES LIMITED

Watch for changes

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
Show 1 limitation Hide limitations
- · 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.

Mansukh Patel
IRN MXP02078
- CF1 Director (AR) (15 Mar 2012 to 7 Aug 2014)
Margret Catherine Donnelly
IRN MCD01107
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (15 May 2014 to 8 Dec 2019)
Marian Lesley Stammers
IRN MLS01137
- CF1 Director (AR) (21 Jul 2016 to 31 May 2019)
Marie Ann Johnson
IRN MAJ01086
- CF3 Chief Executive (AR) (21 Apr 2005 to 21 Jun 2007)
Marie Danna Davies
IRN MDD01056
- CF1 Director (AR) (12 May 2008 to 8 Dec 2019)
Marjorie Rose Lickley
IRN MRL01099
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
- CF1 Director (AR) (26 Jan 2005 to 23 May 2016)
Mark Amos Bates
IRN MAB01303
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF28 Systems and controls (1 Nov 2007 to 8 May 2015)
- CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
- CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)
- CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
- CF1 Director (14 Jan 2005 to 8 Dec 2019)
- CF13 Finance (14 Jan 2005 to 31 Oct 2007)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
Mark Andrew Brassey
IRN MAB01337
- CF4 Partner (AR) (6 Jun 2005 to 8 Feb 2013)
Mark Anthony Dando
IRN MXD18079
- CF1 Director (AR) (2 Aug 2019 to 12 Aug 2019)
Mark Anthony Fixter
IRN MXF00527
- CF1 Director (AR) (13 May 2024 to 20 Dec 2024)

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.