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.

David Stewart Angus
IRN DSA01034
- CF1 Director (AR) (18 Aug 2009 to 20 Aug 2012)
David Stewart Badham
IRN DSB01121
- SMF3 (AR) Executive Director function (9 Dec 2019 to 26 Aug 2021)
- CF1 Director (AR) (2 Apr 2009 to 8 Dec 2019)
David Thompson
IRN DXT01467
- CF1 Director (AR) (16 Aug 2011 to 31 Oct 2013)
David Trevor Davison
IRN DXD01577
- CF1 Director (AR) (11 Aug 2016 to 25 Nov 2020)
David Whittaker
IRN DXW01674
- CF1 Director (AR) (8 Jul 2014 to 10 Oct 2018)
David William Thomas
IRN DWT01061
- CF1 Director (AR) (since 21 Jan 2019)
- CF1 Director (AR) (10 Feb 2014 to 26 Aug 2014)
Dawn Louise Barnfield
IRN DLB01129
- CF1 Director (AR) (29 Mar 2017 to 12 Oct 2023)
Dawn Marie Tamblyn-Smith
IRN DMT01126
- CF1 Director (AR) (9 Feb 2016 to 30 Jan 2018)
Dean Lyndon Greenwood
IRN DLG01042
- CF4 Partner (AR) (31 May 2007 to 15 Nov 2010)
Denise Valentine
IRN DXV01243
- CF1 Director (AR) (since 3 Dec 2018)

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.