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.

• Bowen Tang

  IRN BXT00335

  • [FCA CF] Algorithmic trading (since 19 Aug 2024)
  • [FCA CF] Client dealing (7 Mar 2022 to 19 Aug 2024)
• Brian Arthur Scott

  IRN BAS01039

  • CF21 Investment Adviser (23 Oct 2003 to 14 May 2007)
• Brian Philip Mulligan

  IRN BPM01049

  • CF30 Customer (10 Sep 2013 to 31 Jan 2014)
• Carl-Erik Torgersen

  IRN CXT14315

  • [FCA CF] Manager of certification employee (2 Aug 2022 to 29 Apr 2025)
  • [FCA CF] Client dealing (17 Mar 2021 to 29 Apr 2025)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Caroline Elizabeth Sanders

  IRN CXS00311

  • [FCA CF] Client dealing (22 Jun 2020 to 12 Aug 2024)
  • [FCA CF] Material risk taker (22 Jun 2020 to 30 Sep 2021)
• Charles Marcus Mansour

  IRN CMM01087

  • CF30 Customer (13 Mar 2015 to 8 Dec 2019)
• Chetan Columbus Johal

  IRN CXJ00130

  • [FCA CF] Client dealing (since 9 Apr 2026)
• Christopher James Deazeley

  IRN CJD01066

  • CF27 Investment Management (23 Oct 2003 to 2 Dec 2003)
• Claire Jayne Musgrave

  IRN CJM01419

  • [FCA CF] Significant management (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2022)
  • CF4 Partner (1 Dec 2013 to 6 Dec 2019)
• Conor Gilligan

  IRN CXG00334

  • [FCA CF] Client dealing (4 Apr 2022 to 30 Jan 2023)

No changes recorded yet.