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.

• Conor James Kiernan

  IRN CJK01100

  • SMF27 Partner (since 19 Nov 2025)
  • [FCA CF] Manager of certification employee (since 1 Oct 2022)
  • [FCA CF] Material risk taker (since 1 Oct 2022)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • [FCA CF] Significant management (17 Mar 2021 to 17 Dec 2025)
  • CF4 Partner (1 Jan 2016 to 6 Dec 2019)
• Craig Herbert Compain

  IRN CHC01058

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF26 Customer Trading (12 Jun 2007 to 31 Oct 2007)
• Cristina Martuscelli

  IRN CXM01578

  • CF30 Customer (25 Mar 2008 to 28 Aug 2009)
• Daniel Downes Roberts

  IRN DDR01018

  • [FCA CF] Manager of certification employee (since 28 Sep 2023)
  • CF4 Partner (28 Nov 2011 to 31 Dec 2013)
  • CF30 Customer (4 May 2010 to 31 Aug 2013)
• Daoud Mohamed Zekrya

  IRN DXZ01010

  • CF30 Customer (1 Nov 2007 to 26 Nov 2008)
  • CF4 Partner (3 Jan 2006 to 26 Nov 2008)
  • CF27 Investment Management (23 Oct 2003 to 31 Oct 2007)
• Daryn William Henry Soards

  IRN DWS01048

  • CF27 Investment Management (23 Oct 2003 to 29 Sep 2005)
• David Charles Goodman

  IRN DCG01038

  • CF27 Investment Management (23 Oct 2003 to 31 Jan 2004)
• David Michael Reynard

  IRN DMR01052

  • [FCA CF] Client dealing (17 Mar 2021 to 31 May 2023)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF4 Partner (1 Dec 2017 to 6 Dec 2019)
  • CF30 Customer (13 Oct 2008 to 8 Dec 2019)
• Desmond John Anderson

  IRN DJA01092

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (4 Nov 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 29 Sep 2017)
  • CF26 Customer Trading (7 Apr 2005 to 31 Oct 2007)
• Dimitris Paralikis

  IRN DXP01805

  • CF30 Customer (20 Jan 2014 to 1 May 2015)

No changes recorded yet.