David Thomas Bates

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Miles Rhodes Limited
FRN 744974
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 24 Mar 2022)
Blue'print Financial Solutions Ltd (no longer approved here)
FRN 222283
- Employed By (15 Dec 2004 to 19 Jun 2005)
Elevate Portfolio Services Limited (no longer approved here)
FRN 144849
- CF21 Investment Adviser (1 Dec 2001 to 30 Oct 2004)
Wealthspend Limited (no longer approved here)
FRN 160735
- (6)Employed By (1 Dec 2001 to 30 Oct 2004)
Aviva Administration Limited (no longer approved here)
FRN 185746
- CF21 Investment Adviser (1 Dec 2001 to 30 Oct 2004)

Updates to this individual's record on the FCA register.

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. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.