Prusik Investment Management LLP

• Principal Place of Business

  2nd Floor

  31 St. George Street

  London

  Westminster

  W1S 2FJ

  UNITED KINGDOM

  Phone

  +4402074931331

  Web

  https://www.prusikim.co.uk

• Complaints Contact

  2nd Floor

  31 St. George Street

  London

  Westminster

  W1S 2FJ

  UNITED KINGDOM

  Phone

  +4402074931331

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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.

• 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, 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, 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, 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, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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.

• - Prusik Investment Management Services Lt

  IRN XXP01028

  • CF4 Partner (19 Jul 2005 to 16 Dec 2010)
• Amit Mehta

  IRN ARM01181

  • CF30 Customer (1 Sep 2009 to 27 May 2011)
• Anna Elizabeth Mary Gallagher

  IRN AEG01060

  • [FCA CF] Material risk taker (9 Dec 2019 to 6 Mar 2023)
  • CF30 Customer (11 Oct 2011 to 8 Dec 2019)
• Anthony Timothy Morris

  IRN ATM01027

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (3 Feb 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Feb 2006 to 1 Jun 2008)
  • CF10 Compliance Oversight (3 Feb 2006 to 1 Jun 2008)
  • CF27 Investment Management (22 Dec 2005 to 31 Oct 2007)
• Bofeng Zhao

  IRN BXZ00013

  • [FCA CF] Material risk taker (17 May 2021 to 5 May 2023)
• Brian Norman Frederick Goodban

  IRN BNG01012

  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Sep 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2022)
  • CF10 Compliance Oversight (30 Nov 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (30 Nov 2010 to 8 Dec 2019)
• Edward John McLean Buckley

  IRN EJB01048

  • CF11 Money Laundering Reporting (28 Apr 2008 to 30 Sep 2010)
  • CF10 Compliance Oversight (28 Apr 2008 to 30 Sep 2010)
  • CF30 Customer (1 Nov 2007 to 30 Sep 2010)
  • CF4 Partner (19 Jul 2005 to 30 Sep 2010)
  • CF8 Apportionment and Oversight (19 Jul 2005 to 31 Oct 2007)
  • CF3 Chief Executive (19 Jul 2005 to 30 Sep 2010)
  • CF27 Investment Management (19 Jul 2005 to 31 Oct 2007)
• Heather Caroline Seton Manners

  IRN HCM01015

  • SMF1 Chief Executive (9 Dec 2019 to 31 Jan 2021)
  • SMF27 Partner (9 Dec 2019 to 31 Jan 2021)
  • CF3 Chief Executive (2 Nov 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (19 Jul 2005 to 31 Oct 2007)
  • CF4 Partner (19 Jul 2005 to 8 Dec 2019)
• Kamaljit Kaur Jaspal

  IRN KKJ00004

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Oct 2022)
  • SMF16 Compliance Oversight (since 27 Oct 2022)
• Lisa Lim

  IRN LXL01299

  • [FCA CF] Client dealing (5 May 2023 to 19 Jan 2024)
  • [FCA CF] Material risk taker (1 Nov 2021 to 5 May 2023)

No changes recorded yet.