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.

• Matthew George Lloyd

  IRN MXL00235

  • [FCA CF] Client dealing (since 12 Jun 2020)
• Mehul Bhudia

  IRN MXB01033

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Dec 2022)
  • SMF16 Compliance Oversight (since 1 Dec 2022)
• Melville Fitzgibbon Trimble

  IRN MFT01014

  • CF10 Compliance Oversight (1 Dec 2001 to 23 Aug 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 23 Aug 2004)
  • CF1 Director (1 Dec 2001 to 30 Sep 2004)
• Nicholas David Broadhead

  IRN NDB01017

  • CF30 Customer (1 Nov 2007 to 28 Mar 2011)
  • CF21 Investment Adviser (25 Aug 2006 to 31 Oct 2007)
• Nigel Walter Alan Chapman

  IRN NWC01009

  • CF27 Investment Management (1 Dec 2001 to 20 Dec 2002)
• PETER JENKIN

  IRN PXJ01520

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (6 Feb 2025 to 24 Apr 2025)
  • CF30 Customer (24 Apr 2017 to 8 Dec 2019)
• Richard Clode

  IRN RSC01071

  • CF27 Investment Management (1 Jun 2004 to 25 Dec 2006)
• Richard Hugh Cunningham

  IRN RHC01039

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (19 May 2004 to 31 Oct 2007)
• Robert Steven Gorton

  IRN RSG01029

  • CF27 Investment Management (1 Dec 2001 to 15 Oct 2004)
• Russell Hall

  IRN RXH02266

  • [FCA CF] Client dealing (since 24 Jan 2022)

No changes recorded yet.