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.

• Simon Charles Waite

  IRN SCW01074

  • [FCA CF] Manager of certification employee (since 12 Oct 2021)
  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (26 May 2010 to 8 Dec 2019)
• Simon Daniel Goodman

  IRN SDG01034

  • CF30 Customer (1 Nov 2007 to 9 Jun 2010)
  • CF4 Partner (17 Oct 2007 to 31 Dec 2013)
  • CF26 Customer Trading (23 Oct 2003 to 31 Oct 2007)
• Simon Nicholas Champ

  IRN SNC00026

  • CF30 Customer (15 May 2014 to 1 May 2015)
• Sjoerd de Koning

  IRN SXD02430

  • [FCA CF] Client dealing (since 12 Jan 2024)
• Sophie Louise Capaldi

  IRN SXC00992

  • [FCA CF] Client dealing (since 5 May 2023)
• Stefan Marius Delmarco

  IRN SMD01149

  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Algorithmic trading (since 17 Mar 2021)
  • [FCA CF] Manager of certification employee (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (1 Aug 2011 to 8 Dec 2019)
• Stefanos Roxanis

  IRN SXR00427

  • [FCA CF] Client dealing (since 10 Apr 2025)
• Stephen Drake Siard

  IRN SDS01155

  • [FCA CF] Client dealing (10 Feb 2025 to 31 Mar 2025)
  • [FCA CF] Algorithmic trading (10 Feb 2025 to 31 Mar 2025)
• Steven Philip Kirk

  IRN SPK01057

  • [FCA CF] Client dealing (2 Dec 2021 to 23 Nov 2022)
• Stewart Kenneth James Douglas

  IRN SXD11629

  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • [FCA CF] Client dealing (17 Mar 2021 to 30 Sep 2023)
  • CF30 Customer (25 Feb 2019 to 8 Dec 2019)

No changes recorded yet.