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.

Scott Thomas Farrimond
IRN STF01020
- CF1 Director (AR) (17 Jun 2013 to 17 Sep 2013)
Sean Caulfield
IRN SXC03026
- CF1 Director (AR) (since 10 Sep 2019)
Sean Duncan Burger
IRN SDB01180
- CF1 Director (AR) (6 Aug 2016 to 20 Nov 2024)
Sean Nigel Taylor
IRN SXT01425
- CF2 Non Executive Director (AR) (7 Dec 2005 to 11 Jun 2009)
Sean Owen Barham
IRN SXB15387
- CF1 Director (AR) (31 May 2019 to 15 Jan 2025)
Sean Thomas Garvin
IRN STG01038
- CF1 Director (AR) (4 Aug 2005 to 5 Jun 2013)
Sebastiano Bavetta
IRN SXB00692
- CF1 Director (AR) (since 13 Aug 2021)
Shahjehan Baig
IRN SXB01975
- CF1 Director (AR) (since 19 Feb 2024)
Shane Bratby
IRN SXB02407
- CF1 Director (AR) (1 Jun 2012 to 19 Dec 2013)
Shane Paul Smith
IRN SPS01170
- CF1 Director (AR) (1 Dec 2016 to 27 Nov 2024)

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.