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.

• Michelle Lutzno

  IRN MXL00591

  • [FCA CF] Client dealing (22 Sep 2023 to 10 Mar 2025)
• Mindaugas Juozapavicius

  IRN MXJ00152

  • [FCA CF] Material risk taker (11 Feb 2020 to 30 Sep 2021)
  • [FCA CF] Client dealing (11 Feb 2020 to 10 Sep 2024)
• Mitesh Rajesh Tank

  IRN MRT01139

  • [FCA CF] Client dealing (17 Jun 2022 to 15 Dec 2023)
• Mohammed Arsalan Azmi

  IRN MXA04276

  • [FCA CF] Client dealing (since 9 Jan 2026)
• Morgan Johnson

  IRN MXJ01211

  • CF30 Customer (1 Nov 2007 to 5 Mar 2010)
  • CF27 Investment Management (2 Apr 2007 to 31 Oct 2007)
• NEREA LAFUENTE RUIZ

  IRN NXL01234

  • [FCA CF] Manager of certification employee (31 Aug 2022 to 3 Feb 2026)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • [FCA CF] Client dealing (17 Mar 2021 to 3 Feb 2026)
  • CF30 Customer (29 Nov 2018 to 8 Dec 2019)
• Nicholas Alan Nielsen

  IRN NXN01068

  • [FCA CF] Material risk taker (since 1 Oct 2022)
  • [FCA CF] Algorithmic trading (since 22 Jul 2021)
  • [FCA CF] Client dealing (since 22 Jul 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (6 Dec 2011 to 8 Dec 2019)
  • CF30 Customer (26 Mar 2008 to 30 Jun 2013)
• Nicholas Mark Edwin Olliff

  IRN NMO01010

  • [FCA CF] Client dealing (7 Oct 2024 to 25 Nov 2025)
• Nohshad Shah

  IRN NXS01229

  • [FCA CF] Manager of certification employee (12 Dec 2023 to 30 Sep 2024)
  • [FCA CF] Client dealing (18 Aug 2023 to 30 Sep 2024)
• OZAN MEHMET ASIM

  IRN OMA01016

  • [FCA CF] Client dealing (12 Oct 2021 to 17 Jul 2024)

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