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.

• Ian Gerald Patrick Wace

  IRN IGW01019

  • [FCA CF] Client dealing (since 22 Jul 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (23 Oct 2003 to 8 Dec 2019)
  • CF4 Partner (23 Oct 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (23 Oct 2003 to 31 Oct 2007)
  • CF27 Investment Management (23 Oct 2003 to 31 Oct 2007)
• Indraveer Kumar Srivastava

  IRN IKS00014

  • CF30 Customer (24 Mar 2015 to 1 May 2015)
• Ishaan Sethi

  IRN IYS01002

  • [FCA CF] Client dealing (since 12 Dec 2023)
• Ivan Skopovi

  IRN IXS01399

  • [FCA CF] Client dealing (since 17 Dec 2019)
  • [FCA CF] Material risk taker (17 Dec 2019 to 30 Sep 2021)
• Jacob Rowland Cotton

  IRN JXC10888

  • [FCA CF] Algorithmic trading (17 Mar 2021 to 30 Sep 2022)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF4 Partner (11 Feb 2019 to 6 Dec 2019)
• Jaime Kennedy Brandwood

  IRN JKB01048

  • [FCA CF] Client dealing (28 Sep 2023 to 25 Feb 2026)
• James Alexander Gifford

  IRN JAG01129

  • CF27 Investment Management (7 May 2004 to 27 Jan 2006)
  • CF26 Customer Trading (23 Oct 2003 to 7 May 2004)
• James Frederick Netherthorpe

  IRN JXN01079

  • CF30 Customer (1 Nov 2007 to 31 May 2010)
  • CF4 Partner (3 Jan 2006 to 31 May 2010)
  • CF27 Investment Management (9 Dec 2005 to 31 Oct 2007)
  • CF26 Customer Trading (23 Oct 2003 to 1 Jan 2006)
• James Hanson

  IRN JDH01099

  • CF30 Customer (21 Jul 2009 to 15 Feb 2010)
• James Rory McGinnigle

  IRN JXM01207

  • [FCA CF] Material risk taker (since 1 Oct 2022)

No changes recorded yet.