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 Andrew Fletcher
IRN FXR01121
- CF1 Director (AR) (20 Feb 2007 to 21 Jan 2022)
Richard Andrew Lickley
IRN RAL01186
- CF1 Director (AR) (24 May 2016 to 29 Apr 2022)
Richard Anthony Simacek
IRN RAS01256
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
- CF4 Partner (AR) (26 Jan 2005 to 11 Sep 2008)
Richard Binnie
IRN RXB02258
- CF1 Director (AR) (18 Jun 2013 to 4 Nov 2014)
Richard Cox
IRN RXC01571
- CF1 Director (AR) (6 Jun 2005 to 22 Feb 2022)
Richard David Brazier
IRN RDB01142
- CF4 Partner (AR) (since 21 Nov 2012)
Richard Diego Wright
IRN RDW01107
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (26 Feb 2016 to 8 Dec 2019)
Richard Edwards James Smith
IRN RES01092
- CF1 Director (AR) (6 Feb 2015 to 10 Feb 2016)
Richard Hannah
IRN RXH00463
- CF1 Director (AR) (11 Jan 2022 to 21 Jan 2025)
Richard Holland-Oakes
IRN RXH02207
- CF1 Director (AR) (since 8 Dec 2018)
- CF1 Director (AR) (19 May 2016 to 22 Sep 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.