Herald Investment Management Limited
Reference number: 166064
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Authorisation being cancelled
This firm has asked the FCA to cancel its authorisation. It is still in force until the FCA processes the application, so existing business keeps its protection, but its regulated work is winding down.
Website, phone number and address
Compare these against whatever you were given. Scammers clone real firm names and reference numbers but use their own phone number and website, so a detail that does not match the register is the clearest warning sign there is.
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Phone number
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Address
10-11 Charterhouse Square, London, Islington, EC1M 6EE, United Kingdom
In the full report: 3 background checks
- When heralduk.com first appeared online, and whether it can receive email
- What kind of line 020 7553 6300 is
- Who else gives the postcode EC1M 6EE
Other names (3)
If you were contacted under any of these names, it is this firm.
- Oakwood (UK) Limited Former name: A name it was registered under before.
- RCIM Limited Former name: A name it was registered under before.
- Rutherford Communication Managers Limited Former name: A name it was registered under before.
Warning
Scammers have impersonated this firm
Fraudsters have used this firm's name or details with their own contact information to appear genuine. Check whatever you were given below, and against the firm's real details above.
Fake phone numbers (3)
- 020 3285 8308
- 020 3797 7403
- 020 7459 4063
Fake email addresses (2)
- info@heraldinvestmenttrust.com
- info@heraldinvestmenttrusts.com
The 2 FCA warnings these came from
- Herald Investment Trust 3 March 2020
- Herald Investment Trusts 7 December 2017
Scammers change these details often. Always check the live FCA warning.
FCA permissions and consumer protection
- Hold or safeguard your money · Manage or trade investments · Run or oversee funds FSCS may applyEligible investment and pension claims are typically FSCS-protected up to £85,000 per person, depending on the product and your circumstances.
- Give regulated advice FSCS may applyA claim for unsuitable advice is itself FSCS-protected, up to the limit that applies to the product you were advised on.
- Complaints Ombudsman, freeYou can refer a complaint about this firm to the Financial Ombudsman Service for free, whichever activity it relates to.
Show FCA detail (8 permissions)
- Advising on investments (except on Pension Transfers and Pension Opt Outs)
- Arranging (bringing about) deals in investments
- Arranging safeguarding and administration of assets
- Dealing in investments as agent
- Establishing, operating or winding up a collective investment scheme
- Making arrangements with a view to transactions in investments
- Managing an unauthorised AIF
- Managing investments
Limits on what they may do
- This firm may handle your money in passing but must not hold it, so payments should go to the product provider, never to a personal account.
One supervisory condition set by the FCA
These are conditions the FCA places on the firm itself, covering things like capital it must hold and what it must report. They do not change what the firm may do for you.
- CPMI Requirement
The firm is only permitted to carry on the activities specified in FUND 1.4.3R (1) to (6) or any successor provision
FCA disciplinary action and complaints
No FCA disciplinary action.
The Financial Ombudsman Service only publishes complaint figures for firms with 30 or more new complaints in six months, so there are none here for this firm.
The clone warnings above are scammers using this firm's name, not something the firm has done.
Companies House record
The company behind the firm: its status, age, registered office and directors.
- Company number
- 02877061 (opens Companies House in a new tab)
- Company status
- Active
- Company type
- Private limited company
- Incorporated
- 1 December 1993 (32 years old)
- Registered office
- 10-11 Charterhouse Square, London, EC1M 6EE
- Nature of business
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- Fund management activities (SIC 66300)
Directors and company secretaries
| Name | Role | Born | Appointed | Other companies |
|---|---|---|---|---|
| Katherine Jane Potts | Director | Apr 1959 | 3 Dec 1993 | 7 other companies |
| John David Sebastian Booth | Director | Jul 1958 | 20 Oct 2008 | 34 other companies |
| Vanessa Jane Donegan | Director | Dec 1958 | 1 Jan 2016 | 8 other companies |
| Andrew Blake Miller | Secretary | Not published | 1 Jun 2006 | – |
Other companies run by these 3 directors
A firm is run by people, and their other companies are their track record: what they built, what closed, and anything that failed. It is the check most people never think to make.
- other companies
- 46
- closed down
- 15
- are FCA-registered
- 5
In the full report: all 46 companies, named
- What each company does, and whether it is still trading
- Which of these 3 directors sit on each board, and since when
- Any that went into liquidation or administration
- The 5 on the FCA register
- The 2 companies these 3 directors run together
- All 13 people who have ever been directors, with their dates
Key dates in its history
Herald Investment Management’s history from the FCA register and Companies House, newest first.
2017
7 December 2017
- FCA warned the public about a scam impersonating this firm
FCA warning list
24 May 2017
- FCA imposed a requirement (May control but not hold client money)
FCA register
2016
6 April 2016
- Himl Holdings Limited took control (75–100% of shares)
Companies House
2014
5 November 2014
- FCA imposed a requirement (CPMI Requirement)
FCA register
2013
1 April 2013
- Regulated by the FCA from this date
FCA register
2001
1 December 2001
- Regulated by the Financial Services Authority from this date
- Applied to cancel its FCA authorisation
FCA register
1995
6 November 1995
- Changed its registered name from "RCIM Limited"
FCA register
14 March 1995
- Changed its registered name from "Rutherford Communication Managers Limited"
FCA register
1994
5 January 1994
- Changed its registered name from "Oakwood (UK) Limited"
FCA register
1993
1 December 1993
- Incorporated at Companies House
Companies House
1901
1 January 1901
- Regulated by the Investment Management Regulatory Organisation from this date
FCA register
In the full report: all 37 events
- All 37 events in its history (12 shown here)
- Every director appointment and resignation: 21
Firms connected to Herald Investment Management
Other FCA-listed firms that share a director, phone number or address with Herald Investment Management. A link shows who the firm is tied to, not whether either can be trusted.
- connected firm
- 1
- share a director
- 1
- past links
- 4
In the full report: the connected firm, named
- How it is linked: shared directors (1)
- Who links it to this firm: the named directors, with dates
- 4 past links through former directors
Firms like Herald Investment Management
Other firms of the same type (investment or fund manager), nearest first.
In London
Firms are listed by type and location, best known first. Being listed is not a recommendation: check any firm before you deal with it.
Get the full report on Herald Investment Management
Everything on this page, plus everything locked above, in one dated PDF you can keep, file or send on.
- 46 other companies its directors have run, named
- 3 background checks on its contact details
- All 37 events in its history
- 1 connected firm, named, and who links them
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Frequently asked questions about this firm
Is Herald Investment Management Limited FCA authorised?
What is Herald Investment Management’s phone number and website?
Is Herald Investment Management a scam or clone?
Is my money safe with Herald Investment Management?
Who owns Herald Investment Management?
Who runs Herald Investment Management?
How long has Herald Investment Management been in business?
Does Herald Investment Management use any other names?
Sources and links
- Its entry on the FCA register register.fca.org.uk
- Its Companies House record gov.uk
- FCA warning: Herald Investment Trust fca.org.uk
- FCA warning: Herald Investment Trusts fca.org.uk
- Check your FSCS cover fscs.org.uk
- Complaints the Financial Ombudsman Service can help with financial-ombudsman.org.uk
- Report a scam to the FCA fca.org.uk