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.

• Raphael Jean Houdmont

  IRN RJH01448

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 29 Jun 2018)
  • [FCA CF] Manager of certification employee (22 Jun 2022 to 24 Feb 2023)
• Richard Eid

  IRN RXE01394

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2022)
  • CF30 Customer (21 Mar 2016 to 13 Dec 2022)
• Robert Phillip Hardy

  IRN RPH01065

  • CF4 Partner (24 Jan 2014 to 9 Feb 2016)
  • CF30 Customer (24 Jan 2014 to 9 Feb 2016)
• Rupert Charles Howell

  IRN RCH01085

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (since 24 Jul 2017)
• Salmeet Azad

  IRN SXA22952

  • SMF17 Money Laundering Reporting Officer (MLRO) (2 Jan 2020 to 22 Jan 2021)
• Sean Balmford

  IRN SXB00317

  • CF30 Customer (12 Sep 2019 to 19 Nov 2020)
• Sophie Christine Granchi

  IRN SCG01039

  • CF30 Customer (3 Sep 2021 to 21 Aug 2023)
  • [FCA CF] Client dealing (5 Jul 2021 to 22 Aug 2023)
• Steven Ivan Stein

  IRN SXS00185

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

  IRN TXD01242

  • CF30 Customer (14 Jan 2022 to 14 Apr 2023)
  • [FCA CF] Client dealing (13 Sep 2021 to 3 Mar 2023)
• Thomas James Mullins

  IRN TXM00168

  • CF30 Customer (since 4 May 2021)
  • [FCA CF] Client dealing (since 5 Mar 2021)

• Prism Financial Products LP

  FRN 782608 · Appointed 26 Jun 2017

No changes recorded yet.