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.

• Gregory James Saffer

  IRN GJS01148

  • [FCA CF] Manager of certification employee (since 2 Dec 2024)
  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (28 Aug 2007 to 31 Oct 2007)
• Hafiz Haneef Chagani

  IRN HXC14550

  • [FCA CF] Client dealing (since 14 May 2025)
• Hamdi Bellaaj

  IRN HXB01344

  • [FCA CF] Client dealing (16 May 2022 to 15 Jun 2024)
• Haojiang Zhao

  IRN HXZ75019

  • [FCA CF] Client dealing (21 Jun 2023 to 20 Aug 2024)
• Hayes Jordan Foster

  IRN HJF01034

  • [FCA CF] Manager of certification employee (since 15 Nov 2021)
  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (20 Dec 2013 to 8 Dec 2019)
• Henrik Gjerning

  IRN HXG01060

  • CF27 Investment Management (23 Oct 2003 to 3 Dec 2004)
• Henrik Sebastian Freye

  IRN HSF01013

  • [FCA CF] Material risk taker (18 Mar 2021 to 30 Sep 2021)
  • [FCA CF] Client dealing (18 Mar 2021 to 30 Jun 2022)
  • CF4 Partner (1 Dec 2013 to 6 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 7 Oct 2016)
  • CF27 Investment Management (4 Jul 2005 to 31 Oct 2007)
• Iain Raymond Fredrick McCurry

  IRN IXM10011

  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • [FCA CF] Client dealing (17 Mar 2021 to 3 Aug 2022)
  • CF30 Customer (11 Jan 2019 to 8 Dec 2019)
• Ian Archibald Smillie

  IRN IXS01163

  • [FCA CF] Manager of certification employee (since 13 May 2025)
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • [FCA CF] Material risk taker (10 Dec 2019 to 30 Sep 2021)
• Ian Edward Deacon

  IRN IED01003

  • CF30 Customer (13 Jul 2012 to 19 May 2016)

No changes recorded yet.