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.

Mark Bernard Loughlin
IRN MBL01046
- CF1 Director (AR) (28 Jan 2022 to 15 Jul 2022)
Mark Bryden
IRN MXB03529
- CF1 Director (AR) (14 May 2015 to 23 Nov 2017)
Mark Christopher Cawthra
IRN MCC01161
- CF1 Director (AR) (22 Sep 2014 to 3 Mar 2025)
Mark David Richardson
IRN MDR01150
- CF1 Director (AR) (29 Aug 2017 to 8 Dec 2019)
Mark Francis Stewart
IRN MXS02085
- CF1 Director (AR) (since 3 Apr 2024)
Mark Gibson
IRN MXG01801
- CF1 Director (AR) (2 Oct 2009 to 20 Jun 2014)
Mark Gibson
IRN MXG02668
- CF1 Director (AR) (5 Jan 2018 to 29 Mar 2019)
Mark Henry Edward Smith
IRN MHS01080
- CF1 Director (AR) (since 11 Feb 2011)
Mark James Faloone
IRN MJF01218
- CF1 Director (AR) (3 Jun 2005 to 8 Jul 2013)
Mark John Shergold
IRN MJS01429
- CF1 Director (AR) (1 Jul 2005 to 16 Jun 2009)

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.