Marshall Wace LLP

• Principal Place of Business

  George House

  131 Sloane Street

  London

  SW1X 9AT

  UNITED KINGDOM

  Phone

  +442073162280

  Web

  https://www.mwam.com

• Complaints Contact

  George House

  131 Sloane Street

  London

  SW1X 9AT

  UNITED KINGDOM

  Phone

  +442073162280

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Binary Bet, 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, Emissions Allowance, 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

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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, Binary Bet, 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, Emissions Allowance, 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

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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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Binary Bet, 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, Emissions Allowance, 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

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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, Binary Bet, 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, Emissions Allowance, 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

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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, Binary Bet, 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, Emissions Allowance, 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

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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.

• Retail Investment Funds

• Specialist Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Binary Bet, 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, Emissions Allowance, 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.

• Jonathan Edmund Laurence Sellers

  IRN JES01059

  • CF27 Investment Management (26 Sep 2003 to 15 Oct 2003)
• Jonathan Edward May

  IRN JEM01230

  • SMF27 Partner (since 15 Jul 2025)
  • [FCA CF] Material risk taker (since 17 Mar 2021)
  • [FCA CF] Client dealing (17 Mar 2021 to 23 Jul 2021)
  • [FCA CF] Significant management (17 Mar 2021 to 15 Jul 2025)
  • CF4 Partner (1 Nov 2010 to 6 Dec 2019)
  • CF11 Money Laundering Reporting (1 May 2009 to 18 Jul 2018)
  • CF10 Compliance Oversight (30 Oct 2008 to 18 Jul 2018)
  • CF30 Customer (23 Jan 2008 to 8 Dec 2019)
• Joshua Ian Bradbeer

  IRN JXB18796

  • [FCA CF] Manager of certification employee (since 28 Feb 2025)
  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (27 Aug 2019 to 8 Dec 2019)
• Kane Yale BENNETT

  IRN KXB20562

  • [FCA CF] Client dealing (since 12 Nov 2024)
• Karsten Buecker

  IRN KXB01284

  • CF30 Customer (10 Jan 2014 to 1 May 2015)
• Kenneth Alan Hofmeyr

  IRN KAH01079

  • SMF27 Partner (since 3 Jul 2025)
  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Material risk taker (since 17 Mar 2021)
  • [FCA CF] Manager of certification employee (since 17 Mar 2021)
  • CF4 Partner (24 Nov 2011 to 6 Dec 2019)
  • CF30 Customer (22 Sep 2008 to 8 Dec 2019)
• Keshav Murli Janyani

  IRN KXJ00254

  • [FCA CF] Algorithmic trading (since 18 Feb 2026)
• Kevin Sinani

  IRN KXS90000

  • [FCA CF] Client dealing (since 2 Jun 2025)
• Kingsley Lloyd Faulkner

  IRN KLF01044

  • CF30 Customer (26 Jan 2015 to 8 Dec 2019)
• Lydia Anne Watkins

  IRN LAW01078

  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (14 Jul 2016 to 8 Dec 2019)

No changes recorded yet.