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.

  • Stephen John Opie

    IRN SJO01110

    • (32)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 11 May 2022)
    • (31)[FCA CF] Client dealing (27 Jul 2020 to 11 May 2022)
    • (30)CF1 Director (AR) (13 Oct 2016 to 11 Jan 2017)
  • Susan Jane Walters

    IRN SJW01490

    • (1)CF30 Customer (6 Jun 2016 to 13 Jun 2016)
  • Terry Charles Weston

    IRN TCW00003

    • (10)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (11)4. Giving personal recommendations on retail investment products which are not broker funds
    • (20)[FCA CF] Manager of certification employee (since 2 Mar 2021)
    • (17)Appointed representative dealing with clients for which they require qualification (since 2 Mar 2021)
    • (19)[FCA CF] Client dealing (since 2 Mar 2021)
    • (21)[FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • (13)SMF17 Money Laundering Reporting Officer (MLRO) (since 5 May 2020)
    • (12)Responsible for Insurance Distribution (since 5 May 2020)
    • (14)SMF16 Compliance Oversight (since 5 May 2020)
    • (15)SMF3 Executive Director (since 9 Dec 2019)
    • (18)CF1 Director (AR) (since 22 Jun 2016)
    • (16)CF30 Customer (since 16 May 2016)
    • (21)Responsibility for MCD Intermediation (5 May 2020 to 13 Feb 2025)
    • (22)CF1 Director (17 Dec 2018 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

  1. controlled function added: (38)CF10 Compliance Oversight

  2. controlled function added: (37)CF11 Money Laundering Reporting

  3. controlled function added: (36)SMF16 Compliance Oversight

  4. controlled function added: (35)SMF17 Money Laundering Reporting Officer (MLRO)

  5. controlled function added: (34)Responsible for Insurance Distribution

  6. controlled function added: (33)Responsibility for MCD Intermediation

  7. controlled function added: (32)[FCA CF] Functions requiring qualifications

  8. controlled function added: (31)[FCA CF] Client dealing

  9. controlled function added: (30)CF1 Director (AR)

  10. controlled function added: (29)CF1 Director

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