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.

Simon Jeremy Holt
IRN SJH00007
- CF1 Director (AR) (29 Jul 2013 to 26 Jun 2014)
Simon Mark Sverdloff
IRN SMS01172
- CF1 Director (AR) (13 May 2005 to 9 May 2011)
- Responsible for Insurance Mediation (13 May 2005 to 13 May 2005)
Simon Mark Wardle-Millar
IRN SMW01165
- CF1 Director (AR) (11 Apr 2005 to 18 May 2020)
Simon Nicholas Pellecchia
IRN SNP01041
- CF1 Director (AR) (16 Dec 2008 to 9 May 2014)
Simon Oakes
IRN SXO01139
- SMF16 Compliance Oversight (since 14 Feb 2024)
- Responsible for Insurance Distribution (since 14 Feb 2024)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (14 Jan 2005 to 8 Dec 2019)
Simon Paddock
IRN SXP02065
- CF1 Director (AR) (31 Oct 2012 to 25 Jul 2018)
Simon Pickford
IRN SXP01528
- CF1 Director (AR) (14 Jan 2005 to 19 Mar 2007)
Simon Smith
IRN SXS02977
- CF1 Director (AR) (16 May 2012 to 1 Oct 2020)
Simon Spencer West
IRN SSW01030
- CF1 Director (AR) (20 Jun 2019 to 24 Jan 2025)
Simon Thompson
IRN SXT01829
- CF1 Director (AR) (1 Oct 2014 to 9 Nov 2016)

Smaller firms operating under this firm's FCA authorisation.

Jillian Baker (no longer appointed)
FRN 525527 · Appointed 9 Jun 2010 · Until 3 Nov 2010
Halfords Limited (no longer appointed)
FRN 403574 · Appointed 3 Jun 2010 · Until 12 Jun 2013
Heart of England Mobility Ltd (no longer appointed)
FRN 523936 · Appointed 14 May 2010 · Until 11 Jan 2017
Kissack Care Ltd (no longer appointed)
FRN 523666 · Appointed 12 May 2010 · Until 26 Oct 2015
Willing & Able Disability Centre Ltd (no longer appointed)
FRN 523662 · Appointed 12 May 2010 · Until 17 Aug 2010
Wakefield Chair and Mobility Limited (no longer appointed)
FRN 523535 · Appointed 10 May 2010 · Until 29 Apr 2013
Carol Sanderson (no longer appointed)
FRN 522704 · Appointed 22 Apr 2010 · Until 27 Feb 2014
Tunbridge Wells Shopmobility Ltd (no longer appointed)
FRN 522359 · Appointed 16 Apr 2010 · Until 7 Jan 2015
Inverclyde Mobility Limited (no longer appointed)
FRN 496843 · Appointed 9 Apr 2010 · Until 30 Jun 2010
David Gaucas (no longer appointed)
FRN 521256 · Appointed 26 Mar 2010 · Until 19 Apr 2016

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.