John Bates

Watch for changes

Where they hold approval

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

PineBridge Investments Europe Limited (no longer approved here)
FRN 122531
- [FCA CF] Client dealing (9 Dec 2019 to 24 Mar 2022)
- CF30 Customer (4 Sep 2012 to 8 Dec 2019)
Silk Invest Limited (no longer approved here)
FRN 485161
- CF29 Significant management (15 May 2009 to 1 Aug 2012)
Renaissance Capital Limited (no longer approved here)
FRN 186891
- CF30 Customer (1 Nov 2007 to 18 Dec 2008)
- CF21 Investment Adviser (12 Sep 2007 to 31 Oct 2007)

Updates to this individual'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. 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.