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.

Rosemary Ann Bates
IRN RAB01302
- CF1 Director (14 Jan 2005 to 8 May 2015)
Ross Churcher
IRN RXC46417
- CF1 Director (AR) (since 19 Mar 2020)
Roy Anthony Hartveld
IRN RAH01246
- CF4 Partner (AR) (3 Dec 2007 to 30 Mar 2017)
Rupert Stanton
IRN RXS03342
- CF4 Partner (AR) (since 21 Sep 2017)
Russell Seager
IRN RXS01765
- CF1 Director (AR) (6 Jun 2005 to 9 Feb 2016)
Russell Warner
IRN RXW01664
- CF1 Director (AR) (25 Sep 2013 to 25 Aug 2017)
Ryan Andrew Hirst
IRN RXH88662
- CF1 Director (AR) (29 Jul 2020 to 21 Sep 2022)
Sadie Rebecca Goodwin
IRN SRG01084
- CF2 Non Executive Director (AR) (13 Mar 2007 to 12 Mar 2014)
Saeeda Bibi Basharat
IRN SBB01074
- CF1 Director (AR) (8 Nov 2016 to 18 Sep 2018)
Sally Ann Capon
IRN SAC01178
- CF1 Director (AR) (17 Oct 2018 to 17 Nov 2022)

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.