Prism Financial Products LLP

• Principal Place of Business

  The Grove, Third Floor

  248a Marylebone Road

  London

  NW1 6JZ

  UNITED KINGDOM

  Phone

  +442070739473

  Web

  https://www.prismfp.com

• Complaints Contact

  The Grove, Third Floor

  248a Marylebone Road

  London

  NW1 6JZ

  UNITED KINGDOM

  Phone

  +442070739473

• Authorised to Operate

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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

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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.

• 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• 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.

• Chad Leonard Smart

  IRN CLS01118

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
• Christian Frank

  IRN CXF00457

  • [FCA CF] Material risk taker (since 27 Feb 2026)
• Christopher Burnand Page

  IRN CBP01025

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 13 Dec 2016)
• Christopher Charles Rokos

  IRN CCR01016

  • CF4 Partner (24 Jan 2014 to 8 Jun 2016)
• Christopher James Hansen

  IRN CJH01155

  • CF4 Partner (16 Oct 2014 to 2 Jun 2015)
  • CF30 Customer (16 Oct 2014 to 2 Jun 2015)
• Connor McSweeney

  IRN CXM00096

  • CF30 Customer (since 13 Nov 2020)
  • [FCA CF] Client dealing (since 23 Jun 2020)
• Daniel Strachan

  IRN DXS22067

  • [FCA CF] Client dealing (18 Sep 2024 to 17 Oct 2024)
  • CF30 Customer (17 Oct 2019 to 8 Dec 2019)
• David John Peniket

  IRN DJP01326

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
• David Martins da Silva

  IRN DXM01401

  • SMF9 Chair of the Governing Body (since 30 Apr 2024)
  • CF3 Chief Executive (AR) (since 15 Nov 2023)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (AR) (since 5 Jul 2017)
  • CF30 Customer (since 24 Jan 2014)
  • CF3 Chief Executive (24 Jan 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (24 Jan 2014 to 23 Jun 2017)
  • CF4 Partner (24 Jan 2014 to 8 Dec 2019)
• David Myers

  IRN DXM01836

  • CF30 Customer (since 22 Jun 2021)
  • [FCA CF] Client dealing (since 13 May 2021)

• Prism Financial Products LP

  FRN 782608 · Appointed 26 Jun 2017

No changes recorded yet.