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.

• Dirk Ormoneit

  IRN DXO01117

  • CF27 Investment Management (23 Oct 2003 to 30 Apr 2006)
• Divya Singhal

  IRN DXS00547

  • [FCA CF] Client dealing (since 29 Oct 2021)
• Duncan Edward Ford

  IRN DEF01011

  • [FCA CF] Client dealing (17 Mar 2021 to 13 Apr 2021)
  • SMF27 Partner (9 Dec 2019 to 5 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (23 Oct 2003 to 8 Dec 2019)
  • CF27 Investment Management (23 Oct 2003 to 31 Oct 2007)
• Duncan Sven Eriksen

  IRN DSE01020

  • CF30 Customer (26 Feb 2008 to 31 Dec 2008)
• Edward Nathaniel Mills

  IRN ENM01007

  • CF30 Customer (9 Nov 2010 to 7 Jan 2015)
• Eleanor Katharine Houston

  IRN EKH01013

  • [FCA CF] Material risk taker (26 Mar 2021 to 30 Sep 2021)
  • CF4 Partner (1 Dec 2013 to 6 Dec 2019)
• Elizabeth Claire Appleford

  IRN EXA00064

  • [FCA CF] Material risk taker (1 Dec 2020 to 30 Sep 2021)
  • [FCA CF] Significant management (1 Dec 2020 to 7 Jul 2025)
• Eman Gouyez-Benallal

  IRN EXG00307

  • [FCA CF] Client dealing (since 2 Feb 2026)
  • [FCA CF] Algorithmic trading (5 Jan 2026 to 2 Feb 2026)
• Emily Marie Avery

  IRN EMB01060

  • [FCA CF] Client dealing (19 Dec 2022 to 6 Mar 2024)
• Ernesto Fragomeni

  IRN EXF01033

  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2022)
  • [FCA CF] Manager of certification employee (17 Mar 2021 to 30 Sep 2024)
  • [FCA CF] Client dealing (17 Mar 2021 to 30 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (3 Oct 2006 to 6 Dec 2019)
  • CF27 Investment Management (4 Mar 2005 to 31 Oct 2007)

No changes recorded yet.