Stephen Paul Bates

Watch for changes

Where they hold approval

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

Santander UK Plc (no longer approved here)
FRN 106054
- CF30 Customer (28 May 2010 to 31 Jul 2013)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (14 Apr 2005 to 27 Jul 2006)
- CF1 Director (AR) (30 Nov 2004 to 27 Jul 2006)
- CF22 Investment Adviser (Trainee) (30 Nov 2004 to 14 Apr 2005)
1066 Mortgage & Financial Services Ltd (no longer approved here)
FRN 414383
- (1)Employed By (30 Nov 2004 to 10 May 2007)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (1 Dec 2001 to 5 Nov 2004)

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.