Marshall Wace

Regulatory Disclosures

Marshall Wace conducts its business to meet the requirements of all appropriate regulatory authorities.

  • Marshall Wace LLP is authorised and regulated by the UK Financial Conduct Authority (“FCA”).
  • Marshall Wace North America LP is registered with the US Securities & Exchange Commission (“SEC”).
  • Marshall Wace Asia Limited, 23/F LHT Tower, 31 Queen’s Road, Central, Hong Kong, is licensed by the Hong Kong Securities and Futures Commission ("SFC") (CE No ANM673) for Dealing in Securities and Asset Management.


Data Protection Disclosure

Pillar 3 Disclosure

Stewardship Code Disclosure

Summary of Conflicts of Interest Policy

Principles of Responsible Ownership (Marshall Wace Asia Limited)

Statement on Modern Slavery and Human Trafficking 2018 (2017 statement available here)

Tax Strategy Statement

Quality of Execution Annual Report 2018

Shareholder Rights Directive statement 2019 (Marshall Wace Asset Management (Ireland) Limited)

Shareholders Rights Directive statement 2019 (Marshall Wace LLP)