Steven Andrew Ralph Bates

Last updated
3 weeks ago
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Where they hold approval

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

  • GuardCap Asset Management Limited

    FRN 223961

    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (16 Sep 2003 to 31 Oct 2007)
    • CF3 Chief Executive (16 Sep 2003 to 8 Dec 2019)
    • CF27 Investment Management (16 Sep 2003 to 31 Oct 2007)
    • CF1 Director (16 Sep 2003 to 8 Dec 2019)
  • JPMorgan Asset Management (UK) Limited (no longer approved here)

    FRN 119337

    • CF27 Investment Management (1 Dec 2001 to 1 Mar 2002)

Recent activity

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

No changes recorded yet.