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.

Paul Stuart Smith
IRN PSS01068
- CF4 Partner (AR) (24 Feb 2005 to 25 Oct 2008)
- Responsible for Insurance Mediation (24 Feb 2005 to 24 Feb 2005)
Paula Anne Meredith
IRN PAM01272
- CF1 Director (AR) (1 Apr 2014 to 2 Aug 2016)
Paula Bagley
IRN PXB21915
- CF1 Director (AR) (17 Oct 2019 to 25 Aug 2022)
Pauline Janet Bourne
IRN PJB01434
- CF4 Partner (AR) (7 Jun 2007 to 2 Jun 2014)
Pervez Khan
IRN PXK01304
- CF1 Director (AR) (30 Jun 2006 to 23 Oct 2006)
Peter Albert Christian Hankinson
IRN PAH01231
- Responsible for Insurance Mediation (17 Jan 2005 to 17 Jan 2005)
- CF3 Chief Executive (AR) (17 Jan 2005 to 9 May 2011)
Peter Andrew Carruthers
IRN PAC01252
- CF1 Director (AR) (16 Feb 2005 to 7 Aug 2014)
- Responsible for Insurance Mediation (16 Feb 2005 to 16 Feb 2005)
Peter Anthony Smith
IRN PAS01263
- CF1 Director (AR) (1 Jul 2005 to 4 Dec 2019)
Peter Forgie Braam
IRN PFB01074
- CF1 Director (AR) (since 18 Oct 2016)
Peter John Adair
IRN PJA01128
- CF1 Director (AR) (4 Feb 2009 to 16 Feb 2016)

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.