Herald Investment Management Limited

• Principal Place of Business

  10-11 Charterhouse Square

  London

  Islington

  EC1M 6EE

  UNITED KINGDOM

  Phone

  +4402075536300

  Web

  https://www.heralduk.com

• Complaints Contact

  10-11 Charterhouse Square

  London

  Islington

  EC1M 6EE

  UNITED KINGDOM

  Phone

  +4402075536300

• Investment Advice (no pensions)

  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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" 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, 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, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Runs Investment Funds

• 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, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Private Investment Funds

• Manages Your Portfolio

  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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Aidan Richard Paul

  IRN ARP01060

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Andrew Blake Miller

  IRN ABM01067

  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Nov 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Nov 2022)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Jul 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Jul 2006 to 8 Dec 2019)
  • CF13 Finance (10 Jul 2006 to 31 Oct 2007)
• Andrew Michael Impey

  IRN AMI01005

  • CF27 Investment Management (31 Jan 2002 to 8 May 2002)
• Angus Frederick Rose

  IRN AFR01021

  • CF13 Finance (23 Aug 2004 to 31 Oct 2006)
  • CF1 Director (23 Aug 2004 to 20 Jul 2006)
  • CF11 Money Laundering Reporting (23 Aug 2004 to 20 Jul 2006)
  • CF10 Compliance Oversight (23 Aug 2004 to 20 Jul 2006)
• Anthony John Parker

  IRN AJP01193

  • CF27 Investment Management (30 Jan 2002 to 8 May 2002)
• Carolos Georgallis

  IRN CXG01359

  • CF30 Customer (1 Nov 2007 to 14 May 2010)
  • CF26 Customer Trading (14 Mar 2006 to 31 Oct 2007)
• Daniel George Alexander Malach

  IRN DGM01163

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 May 2017 to 8 Dec 2019)
• David Thomas Alan Boyle

  IRN DTB01037

  • CF2 Non Executive Director (27 Oct 2003 to 1 Feb 2018)
• Drewe Anthony Jackson

  IRN DAJ01048

  • CF27 Investment Management (1 Dec 2001 to 31 Jul 2004)
• Edward Hughes

  IRN EXH01208

  • CF27 Investment Management (10 Jul 2006 to 25 Jan 2007)

No changes recorded yet.