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.

• James Timothy Way

  IRN JTW01062

  • CF30 Customer (26 Jul 2013 to 7 Nov 2016)
• Jamie Curry

  IRN JXC02475

  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Algorithmic trading (since 17 Mar 2021)
  • [FCA CF] Manager of certification employee (since 17 Mar 2021)
  • [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
  • CF30 Customer (2 Mar 2015 to 8 Dec 2019)
• Jan-Frederik Nassauer

  IRN JXN01344

  • [FCA CF] Client dealing (12 Jun 2024 to 23 Apr 2025)
• Jelena Clare Boskovic

  IRN JXB01123

  • [FCA CF] Client dealing (22 Jul 2022 to 2 Feb 2024)
• Joel Ferrer Perez

  IRN JXF00598

  • [FCA CF] Algorithmic trading (since 27 Mar 2024)
• Johan Fredrik Svele

  IRN JXS01170

  • [FCA CF] Algorithmic trading (12 Aug 2024 to 12 Jan 2026)
  • [FCA CF] Client dealing (9 Dec 2022 to 12 Aug 2024)
• Johannes Siven

  IRN JXS02742

  • [FCA CF] Material risk taker (19 Feb 2020 to 30 Sep 2021)
  • [FCA CF] Client dealing (19 Feb 2020 to 6 Jan 2026)
• John Andrew Little

  IRN JAL01119

  • [FCA CF] Client dealing (since 6 Oct 2023)
• John Colin Carter

  IRN JCC01213

  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Material risk taker (since 17 Mar 2021)
  • CF4 Partner (1 Dec 2017 to 6 Dec 2019)
  • CF28 Systems and controls (17 Apr 2014 to 1 Dec 2017)
  • CF30 Customer (19 Aug 2011 to 8 Dec 2019)
• John Kough

  IRN JXK01624

  • [FCA CF] Client dealing (since 22 Oct 2024)

No changes recorded yet.