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.

Neil Spencer Coe
IRN NSC01052
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (19 Mar 2014 to 17 Jan 2020)
Neil Stamp
IRN NXS02182
- CF1 Director (AR) (2 Nov 2018 to 19 Nov 2021)
Nest Evans
IRN NXE01188
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (18 Feb 2016 to 8 Dec 2019)
Nicholas Adcock
IRN NXA01215
- CF1 Director (AR) (26 Jan 2005 to 5 Aug 2014)
Nicholas Cooke
IRN NXC01373
- CF1 Director (AR) (23 Sep 2009 to 13 Sep 2010)
Nicholas Hyde
IRN NXH01497
- CF1 Director (AR) (27 Sep 2012 to 23 Feb 2015)
Nicholas Stuart Cawcutt
IRN NSC01073
- CF1 Director (AR) (9 Mar 2016 to 18 Nov 2020)
Nicholas Tongs
IRN NXT01156
- CF1 Director (AR) (26 Jan 2005 to 5 Nov 2018)
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
Nickolas Robert Fowden
IRN NRF01024
- CF1 Director (AR) (15 Sep 2008 to 26 Feb 2013)
Nicola Anne Offord
IRN NAO01015
- CF1 Director (AR) (24 May 2013 to 12 May 2015)

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.