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.

• David Ronald Hutchinson

  IRN DRH01149

  • CF4 Partner (25 Mar 2014 to 19 Oct 2016)
  • CF30 Customer (25 Mar 2014 to 19 Jun 2017)
• Deborah Jean Dailey-Davies

  IRN DJD01213

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jan 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Jan 2020)
  • CF11 Money Laundering Reporting (24 Jan 2014 to 8 Dec 2019)
  • CF4 Partner (24 Jan 2014 to 19 Oct 2016)
• Edward David Taylor

  IRN EDT01007

  • SMF27 Partner (9 Dec 2019 to 27 Jan 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Jul 2021)
  • CF4 Partner (AR) (3 Jul 2017 to 23 May 2018)
  • CF30 Customer (24 Jan 2014 to 6 Jul 2021)
  • CF4 Partner (24 Jan 2014 to 8 Dec 2019)
• Elie Azar

  IRN EXA01057

  • [FCA CF] Client dealing (13 May 2022 to 1 Jan 2023)
• Farah Hamzaoui

  IRN FXH17785

  • CF30 Customer (27 Jul 2019 to 9 Apr 2021)
• Flora Walsh

  IRN FXW00002

  • CF30 Customer (20 Mar 2023 to 15 Jul 2025)
  • [FCA CF] Client dealing (1 Mar 2023 to 15 Jul 2025)
• Giuseppe Pietro D'Alessandro

  IRN GPD01024

  • CF30 Customer (24 Jan 2014 to 25 Apr 2014)
  • CF4 Partner (24 Jan 2014 to 25 Apr 2014)
• Hussein Mushtakali Fazal

  IRN HMF01028

  • SMF27 Partner (9 Dec 2019 to 23 Jan 2020)
  • CF4 Partner (11 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (9 Aug 2017 to 1 Apr 2020)
• Itay Desau

  IRN IXD01057

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Jul 2021)
  • SMF27 Partner (9 Dec 2019 to 6 Jul 2021)
  • CF4 Partner (AR) (11 Jul 2018 to 6 Jul 2021)
  • CF4 Partner (24 May 2018 to 8 Dec 2019)
  • CF30 Customer (22 Mar 2018 to 6 Jul 2021)
• James Darcy Taylor

  IRN JXT07291

  • CF30 Customer (19 Oct 2018 to 28 Aug 2020)

• Prism Financial Products LP

  FRN 782608 · Appointed 26 Jun 2017

No changes recorded yet.