NEEX PRIME UK LLP

• Principal Place of Business

  Floors 18 & 19

  100 Bishopsgate

  London

  EC2N 4AG

  UNITED KINGDOM

  Phone

  +4402039981888

• Complaints Contact

  18th & 19th Floors

  100 Bishopsgate

  London

  EC2N 4AG

  UNITED KINGDOM

  Phone

  +4402039981888

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Authorised to Operate

  For Eligible Counterparty, Professional

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations 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.
  • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' in the FSA's Glossary of defined expressions used in the FSA's Handbook

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, 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.

• . ARP Holding Limited

  IRN XXA01325

  • SMF27 Partner (9 Dec 2019 to 21 Oct 2020)
  • CF4 Partner (14 Sep 2016 to 8 Dec 2019)
• Andrea Podesta

  IRN AXP01250

  • SMF27 Partner (9 Dec 2019 to 21 Oct 2020)
  • CF4 Partner (14 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (14 Sep 2016 to 8 Dec 2019)
• Andrew Michael Wood

  IRN AMW01205

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Mar 2021)
  • SMF16 Compliance Oversight (since 15 Mar 2021)
• Dmytro Bondar

  IRN DXB02050

  • CF30 Customer (13 Dec 2016 to 30 Apr 2017)
• Giorgio Simioni

  IRN GXS01766

  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Mar 2021)
  • CF11 Money Laundering Reporting (14 Sep 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (14 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (14 Sep 2016 to 8 Dec 2019)
• Giulio Lippolis

  IRN GXL01680

  • CF30 Customer (19 Jun 2017 to 2 May 2018)
• Justin Lawrence Little

  IRN JLL01016

  • CF30 Customer (19 Oct 2016 to 2 May 2018)
• Matteo Nicolo Ludovico Milanesi

  IRN MNM01055

  • CF30 Customer (29 Apr 2017 to 2 May 2018)
• Saida Rzayeva

  IRN SXR01301

  • [FCA CF] Client dealing (since 27 Apr 2021)
  • SMF1 Chief Executive (since 23 Dec 2020)
• Vincent Jean-Bernard Briffaud

  IRN VJB01026

  • CF30 Customer (14 Sep 2016 to 30 Nov 2016)

No changes recorded yet.