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.

Dennis Cope
IRN DXC02223
- CF1 Director (AR) (20 Aug 2014 to 4 Feb 2019)
Derek Malam
IRN DXH01674
- CF4 Partner (AR) (4 Nov 2008 to 12 Mar 2009)
Derek Plumpton
IRN DXP01477
- CF2 Non Executive Director (AR) (1 Jul 2005 to 20 Jul 2006)
Derek Spencer
IRN DXS02141
- CF1 Director (AR) (8 Apr 2011 to 10 Apr 2014)
Derry Hall
IRN DXH00891
- CF1 Director (AR) (since 2 Mar 2025)
Diane Jane Brown
IRN DJB01527
- CF2 Non Executive Director (AR) (5 Nov 2008 to 1 Jun 2016)
Donald Alec Matthews
IRN DAM01197
- CF1 Director (AR) (15 Jun 2007 to 6 Jun 2022)
Donald Hunter
IRN DXH01807
- CF1 Director (AR) (22 May 2012 to 26 Apr 2019)
- CF4 Partner (AR) (3 Feb 2010 to 27 Apr 2012)
Douglas Mitchell
IRN DXM02111
- CF1 Director (AR) (16 May 2008 to 9 Jan 2014)
Duncan Cameron Bevons
IRN DCB01138
- CF1 Director (AR) (4 Oct 2012 to 26 Aug 2014)

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.