Thomas David Bates

Watch for changes

Where they hold approval

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

Affinity Financial Awareness Limited (no longer approved here)
FRN 409160
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 May 2020)
- CF30 Customer (10 Jun 2016 to 8 Dec 2019)
Wealth At Work Limited (no longer approved here)
FRN 417367
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 May 2020)
- CF30 Customer (2 Jul 2012 to 8 Dec 2019)
NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)
FRN 117664
- CF30 Customer (1 Nov 2007 to 25 Apr 2012)
- CF21 Investment Adviser (29 Dec 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (2 Jun 2004 to 29 Dec 2005)
N.F.U. Mutual Unit Managers Limited (no longer approved here)
FRN 121922
- CF21 Investment Adviser (29 Dec 2005 to 1 Apr 2007)
- CF22 Investment Adviser (Trainee) (2 Jun 2004 to 29 Dec 2005)

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.