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.

Julie Anne Cummings
IRN JAC01364
- CF1 Director (AR) (2 Dec 2015 to 1 Jul 2016)
Julie Dooley
IRN JXD01708
- CF1 Director (AR) (29 Nov 2005 to 4 Oct 2012)
Julie Murgatroyd
IRN JXM02921
- CF1 Director (AR) (30 Jun 2011 to 6 Sep 2012)
Julie Potter
IRN JXP01624
- CF4 Partner (AR) (11 Apr 2005 to 10 Oct 2008)
Julie Wright
IRN JXW01022
- CF1 Director (AR) (since 10 Mar 2024)
Juliette Erica Harding
IRN JEH01189
- CF1 Director (AR) (1 Jul 2005 to 28 Oct 2015)
Justina Nurse
IRN JXN01530
- CF1 Director (AR) (31 Aug 2016 to 17 Jan 2020)
Karen Beverley Jones
IRN KBJ01006
- CF1 Director (AR) (28 Aug 2007 to 26 Nov 2008)
Karen Joy Matthews
IRN KJM01162
- CF1 Director (AR) (17 Jul 2006 to 9 Jun 2009)
Karen Mary-Louise Riggs
IRN KMR01042
- CF1 Director (AR) (21 May 2015 to 14 Feb 2019)
- CF4 Partner (AR) (17 Jan 2005 to 21 May 2015)
- Responsible for Insurance Mediation (17 Jan 2005 to 17 Jan 2005)

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.