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

  Show 1 limitation Hide limitations

  • · 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

  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.

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

  Show 1 limitation Hide limitations

  • · 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.

• Marc Burke

  IRN MXB01500

  • CF4 Partner (11 Oct 2017 to 31 Mar 2018)
  • CF30 Customer (31 Mar 2015 to 16 Jan 2018)
• Mariano Grosman

  IRN MXG01886

  • CF4 Partner (11 Apr 2014 to 2 Feb 2015)
  • CF30 Customer (17 Mar 2014 to 2 Feb 2015)
• Matthew Depue

  IRN MXD00274

  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2022)
• Michael Summers

  IRN MPS01169

  • CF30 Customer (9 Oct 2019 to 19 Mar 2020)
• Moritz Hoogers

  IRN MXH01430

  • CF30 Customer (since 24 Jan 2025)
  • [FCA CF] Client dealing (since 5 Nov 2024)
• Neeraj Kumar

  IRN NXK01195

  • CF30 Customer (7 Mar 2016 to 12 Jun 2017)
• Oksana Grinchak

  IRN OXG01017

  • SMF27 Partner (9 Dec 2019 to 23 Jan 2020)
  • CF30 Customer (7 Dec 2018 to 31 Jan 2020)
  • CF4 Partner (7 Dec 2018 to 8 Dec 2019)
• Olympia Andrea Louka

  IRN OAL01013

  • CF30 Customer (10 Feb 2014 to 16 Jun 2016)
• Paul Philip Swaddling

  IRN PPS01006

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (AR) (since 30 Jun 2017)
  • CF30 Customer (since 24 Jan 2014)
  • [FCA CF] Algorithmic trading (13 Sep 2021 to 6 Sep 2024)
  • CF4 Partner (24 Jan 2014 to 8 Dec 2019)
• Peter Green

  IRN PLG01012

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

• Prism Financial Products LP

  FRN 782608 · Appointed 26 Jun 2017

No changes recorded yet.