Prism EBC Limited

Date authorised
5 January 2015
Companies House
09171884
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Regent House
    Mitre Way
    Battle
    East Sussex
    TN33 0BQ
    UNITED KINGDOM
    Phone
    +448009708800
    Web
    https://specifa.co.uk

  • Complaints Contact

    Regent House
    Mitre Way
    Battle
    East Sussex
    TN33 0BQ
    UNITED KINGDOM
    Phone
    +448009708800

What this firm is allowed to do

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

  • P2P Lending Advice

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Commercial

  • Pension Transfer Advice

    For Professional, Retail (Investment), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Life Policy, Personal pension scheme, Unit, Stakeholder pension scheme

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
    • · 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 Advice (no pensions)

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Life Policy, Non-investment insurance contracts

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Investment), Professional, Commercial, Retail (Non-Investment Insurance), Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts

    Show 1 limitation
    • · 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 Retail (Investment), Professional, Commercial, Retail (Non-Investment Insurance), Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Brian Winston Dudley

    IRN BWD00007

    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (4)[FCA CF] Functions requiring qualifications (since 3 Apr 2023)
    • (3)Appointed representative dealing with clients for which they require qualification (since 3 Apr 2023)
    • (13)[FCA CF] Client dealing (27 Jul 2020 to 3 Apr 2023)
    • (14)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 3 Apr 2023)
  • Dariush Philip Jalali

    IRN DPJ01042

    • (20)CF1 Director (AR) (8 Oct 2016 to 11 Jan 2017)
    • (19)CF30 Customer (1 May 2015 to 16 Dec 2020)
  • Geoffrey Keith Fillery

    IRN GKF00002

    • (11)[FCA CF] Material risk taker (27 Jul 2020 to 30 Nov 2025)
    • (12)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 30 Nov 2025)
    • (10)CF1 Director (AR) (22 Nov 2016 to 11 Jan 2017)
    • (9)CF30 Customer (5 Jan 2015 to 2 Apr 2026)
  • Graham Peters

    IRN GXP00017

    • (5)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (6)4. Giving personal recommendations on retail investment products which are not broker funds
    • (9)[FCA CF] Functions requiring qualifications (since 27 Jul 2020)
    • (8)[FCA CF] Client dealing (since 27 Jul 2020)
    • (7)CF30 Customer (since 5 Jan 2015)
    • (25)Responsible for Insurance Distribution (1 Oct 2018 to 30 Oct 2018)
    • (27)CF11 Money Laundering Reporting (17 Jan 2018 to 30 Oct 2018)
    • (24)Responsibility for MCD Intermediation (21 Mar 2016 to 30 Oct 2018)
    • (28)CF10 Compliance Oversight (5 Jan 2015 to 5 Dec 2017)
    • (29)CF1 Director (5 Jan 2015 to 20 Nov 2018)
    • (26)Responsible for Insurance Mediation (5 Jan 2015 to 30 Sep 2018)
  • Jeremy Brian Over

    IRN JBO01013

    • (18)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 1 Oct 2025)
    • (17)[FCA CF] Client dealing (27 Jul 2020 to 1 Oct 2025)
    • (16)CF1 Director (AR) (5 Oct 2016 to 11 Jan 2017)
    • (15)CF30 Customer (5 Jan 2015 to 2 Apr 2026)
  • John Cyril Arthur Blackburn

    IRN JXB13934

    • (23)CF30 Customer (24 Apr 2019 to 8 Dec 2019)
  • Mark John Taylor

    IRN MJT01080

    • (7)[FCA CF] Client dealing (27 Jul 2020 to 24 Aug 2023)
    • (8)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 24 Aug 2023)
    • (6)CF30 Customer (31 Mar 2016 to 30 Oct 2024)
  • Maurice Donald Horlock

    IRN MDH00005

    • (4)[FCA CF] Client dealing (27 Jul 2020 to 16 May 2024)
    • (5)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 16 May 2024)
  • Paul Anthony Leach

    IRN PAL00005

    • (2)[FCA CF] Client dealing (27 Jul 2020 to 14 Dec 2021)
    • (3)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 14 Dec 2021)
  • Sarah Anne Kilpatrick

    IRN SXK06783

    • (22)SMF3 Executive Director (since 9 Dec 2019)
    • (35)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 May 2020)
    • (36)SMF16 Compliance Oversight (9 Dec 2019 to 5 May 2020)
    • (34)Responsible for Insurance Distribution (26 Oct 2018 to 5 May 2020)
    • (39)CF1 Director (26 Oct 2018 to 8 Dec 2019)
    • (37)CF11 Money Laundering Reporting (26 Oct 2018 to 8 Dec 2019)
    • (33)Responsibility for MCD Intermediation (26 Oct 2018 to 5 May 2020)
    • (38)CF10 Compliance Oversight (26 Oct 2018 to 8 Dec 2019)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

  1. trading name added: Reflect Financial Protection Consultancy

  2. trading name added: Prism Independent Financial Advice

  3. trading name added: Prism Employee Benefit Consultancy

  4. trading name added: Compass Complete Financial Consultancy

  5. trading name added: Compass Complete Finance Consultancy

  6. permission removed: CBTL Effective Date

  7. permission removed: CBTL End Date

  8. controlled function added: (22)SMF3 Executive Director

  9. controlled function added: (21)[FCA CF] Functions requiring qualifications

  10. controlled function added: (20)[FCA CF] Manager of certification employee

Show more