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.

Richard James Breedon
IRN RJB01536
- CF1 Director (AR) (18 Sep 2012 to 11 Aug 2014)
Richard Luxmoore
IRN RXL01790
- CF1 Director (AR) (3 Apr 2023 to 4 Dec 2024)
Richard McMahon
IRN RXM02905
- CF1 Director (AR) (5 Jul 2016 to 20 Nov 2020)
Richard Micheal Frank Wilkes
IRN RMW01163
- CF4 Partner (AR) (21 Dec 2012 to 11 Aug 2014)
Richard Miller
IRN RXM02320
- CF1 Director (AR) (26 Jul 2012 to 2 May 2019)
Richard Nigel Hall
IRN RNH01040
- CF1 Director (AR) (30 Mar 2006 to 6 Mar 2015)
Richard Paul Magson
IRN RXM01037
- CF1 Director (AR) (since 26 Sep 2024)
Richard Toner
IRN RXT01579
- CF1 Director (AR) (3 Mar 2014 to 25 Aug 2022)
Richard William Alan Walsh
IRN RWW01077
- CF1 Director (AR) (since 26 Jan 2005)
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
Richard Wright
IRN RXW01904
- CF1 Director (AR) (9 Apr 2021 to 30 Mar 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.