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.

Marshall Wace LLP was a signatory of the 2012 version of the UK Stewardship Code from 2012 until the publication in September 2021 of the first list of signatories of the revised 2020 version of the Stewardship Code.  While it is no longer a signatory to the Stewardship Code, Marshall Wace LLP supports the objectives of the revised Code and is reviewing: (a) its approach to stewardship and its governance; (b) the integration of environmental, social and governance factors into its investment decision-making; and (c) the reporting of outcomes in light of the standards set by the revised Code.

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