Exton Corporate Finance Limited

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Professional, Certificates representing certain security, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Investment Setup

For Professional, Certificates representing certain security, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Senior staff personally approved by the FCA to hold their roles here.

HARSHIT SHASHIKANT DAVE
IRN HSD01030
- [FCA CF] Client dealing (since 3 Jul 2023)
- SMF3 Executive Director (since 4 May 2023)
John Paul Astill
IRN JPA01089
- [FCA CF] Client dealing (since 1 Sep 2023)
- [FCA CF] CASS oversight function (since 3 Jul 2023)
- [FCA CF] Manager of certification employee (since 3 Jul 2023)
- [FCA CF] Significant management (since 3 Jul 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 4 May 2023)
- SMF3 Executive Director (since 4 May 2023)
- SMF16 Compliance Oversight (since 4 May 2023)
Thomas Carl Steindler
IRN TXS03796
- [FCA CF] Significant management (since 3 Jul 2023)
- [FCA CF] Client dealing (since 3 Jul 2023)
- SMF3 Executive Director (since 4 May 2023)

Updates to this firm'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. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.