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.

Keith Stuart Smith
IRN KSS01062
- CF4 Partner (AR) (3 Apr 2009 to 3 Nov 2014)
Kelum Srinath Weerakoody
IRN KSW01035
- CF1 Director (AR) (9 Aug 2013 to 29 Sep 2014)
Kenneth Peter Meister
IRN KPM01052
- CF1 Director (AR) (9 Dec 2019 to 24 Jan 2025)
- CF4 Partner (AR) (22 Dec 2015 to 8 Dec 2019)
Kerry Ann Scrowther
IRN KAS01094
- CF1 Director (AR) (23 Feb 2005 to 22 Sep 2022)
- Responsible for Insurance Mediation (23 Feb 2005 to 23 Feb 2005)
Kevin Bernard Smith
IRN KBS01030
- CF1 Director (AR) (31 Jan 2013 to 4 Jul 2013)
Kevin Cullen
IRN KXC01244
- CF1 Director (AR) (26 Sep 2005 to 23 Nov 2022)
Kevin Mark Clark
IRN KMC01108
- CF1 Director (AR) (21 Feb 2017 to 19 Dec 2024)
Kevin Peter Smith
IRN KPS01045
- CF1 Director (AR) (1 Jul 2005 to 1 Aug 2009)
Kim Jeanette Barrett
IRN KJB01163
- CF4 Partner (AR) (25 Jan 2013 to 18 Feb 2014)
Lance Roger Hickman
IRN LRH01025
- CF1 Director (AR) (17 Jan 2005 to 29 Jun 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.