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 manages the assets of a range of diversified hedge funds, managed accounts and UCITS strategies which are invested on a global basis. While Marshall Wace supports the UK Stewardship Code and its objectives it also believes that it is appropriate to comply with standards that apply internationally in view of the firm’s global approach to investment. It has consequently committed to the initiatives of a number of organisations that have broader geographical application. It will keep its stance on the UK Stewardship Code under review. For further details on Marshall Wace’s stewardship strategy please see the Engagement Policy.