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.

Robin Swain
IRN RXS02014
- SMF3 (AR) Executive Director function (9 Dec 2019 to 1 Feb 2022)
- CF1 Director (AR) (8 Nov 2016 to 8 Dec 2019)
- CF4 Partner (AR) (17 Dec 2008 to 4 Nov 2016)
Robin Thompson
IRN RXT00283
- CF1 Director (AR) (24 May 2022 to 29 Feb 2024)
Rodney Charles Page
IRN RCP01066
- CF1 Director (AR) (2 Feb 2005 to 23 Sep 2008)
- Responsible for Insurance Mediation (2 Feb 2005 to 2 Feb 2005)
Roger De Gennaro
IRN RXD01830
- CF1 Director (AR) (23 Feb 2017 to 6 Feb 2024)
Roger Jennings
IRN RXJ01183
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
- CF1 Director (AR) (26 Jan 2005 to 2 May 2014)
Roger Paul Fox
IRN RPF01055
- CF1 Director (AR) (25 Mar 2014 to 4 Jun 2015)
Roger Witten
IRN RXW01439
- CF1 Director (AR) (26 Jan 2005 to 15 Nov 2010)
- Responsible for Insurance Mediation (26 Jan 2005 to 26 Jan 2005)
Ron Craven
IRN RXC01563
- Responsible for Insurance Mediation (17 Feb 2005 to 17 Feb 2005)
- CF3 Chief Executive (AR) (17 Feb 2005 to 10 Feb 2006)
Ronald Leslie Sverdloff
IRN RXS00198
- CF1 Director (AR) (15 Dec 2020 to 19 Nov 2021)
Ronald Ross
IRN RXR01417
- CF1 Director (AR) (29 May 2009 to 2 Jun 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.