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.

John Lancaster
IRN JXL01561
- CF3 Chief Executive (AR) (26 Jan 2005 to 23 Sep 2008)
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
John Leon Nicholas
IRN JLN01029
- CF1 Director (AR) (17 Aug 2009 to 22 Mar 2013)
John Raymond Spurgeon
IRN JRS01335
- CF1 Director (AR) (17 Aug 2016 to 24 Oct 2022)
John Stephen Clarke
IRN JSC01154
- CF4 Partner (AR) (31 Jul 2009 to 19 Sep 2012)
Jonathan Robert Scott
IRN JRS01282
- CF1 Director (AR) (8 Dec 2009 to 14 Sep 2010)
Jonathon Peter Ward
IRN JPW01154
- CF1 Director (AR) (23 May 2016 to 14 Oct 2022)
- CF4 Partner (AR) (18 Jul 2007 to 4 May 2016)
Judith Ann Adair
IRN JAA01207
- CF1 Director (AR) (17 Feb 2016 to 8 Nov 2022)
Judith Shaw
IRN JXS02043
- CF4 Partner (AR) (26 Jan 2005 to 26 Nov 2008)
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
Julian Bavetta
IRN JXB02763
- CF1 Director (AR) (18 Aug 2011 to 14 Sep 2021)
Julie Anne Brooks
IRN JAB01578
- CF1 Director (AR) (28 Apr 2015 to 29 Apr 2021)

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.