Herald Investment Management Limited

Date authorised
1 April 2013
Companies House
02877061
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Fatemeh Naraghi

    IRN FXN01006

    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Fraser Royston Elms

    IRN FRE01003

    • [FCA CF] Client dealing (9 Dec 2019 to 10 Apr 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Hao Luo

    IRN HXL01121

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (11 Apr 2007 to 31 Oct 2007)
  • Harry Edward Fraser

    IRN HEF01014

    • CF30 Customer (9 Apr 2011 to 31 May 2011)
  • Hugh Grieves

    IRN HPG01002

    • CF30 Customer (11 May 2010 to 17 Feb 2012)
  • Jean Kemmis-Matterson

    IRN JGM01048

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 19 Dec 2025)
    • CF2 Non Executive Director (1 Nov 2017 to 8 Dec 2019)
  • John David Sebastian Booth

    IRN JDB01090

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (20 Oct 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • John Joseph Gulian

    IRN JJG01099

    • CF30 Customer (1 Nov 2012 to 21 Sep 2016)
  • Katherine Jane Potts

    IRN KJP01046

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (28 Jul 2006 to 8 Dec 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • Laurence Brian Canning

    IRN LBC01009

    • CF27 Investment Management (1 Dec 2001 to 5 Nov 2003)
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Recent activity

Updates to this firm's record on the FCA register.

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