Nicky Lee Bates

Last updated
5 days ago
Watch for changes

Where they hold approval

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

  • Bates Financial Solutions Limited

    FRN 1001420

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 29 Feb 2024)
    • SMF16 Compliance Oversight (since 29 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Feb 2024)
    • SMF3 Executive Director (since 29 Feb 2024)
    • [FCA CF] Client dealing (since 29 Feb 2024)
    • Responsible for Insurance Distribution (since 29 Feb 2024)
  • GP3 Financial Solutions Ltd (no longer approved here)

    FRN 575549

    • [FCA CF] Functions requiring qualifications (8 Dec 2020 to 28 Feb 2024)
    • [FCA CF] Client dealing (8 Dec 2020 to 28 Feb 2024)
    • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
  • gp3 Financial Solutions Ltd (no longer approved here)

    FRN 210171

    • (6)Employed By (14 Aug 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.