Regulatory Disclosures

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

  • Marshall Wace LLP is authorised and regulated in the UK by the Financial Conduct Authority (FCA), with firm reference number 228531.
  • Marshall Wace North America LP is registered as an Investment Adviser with the US Securities and Exchange Commission (SEC), with CRD number 135902.
  • 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), with CE number ANM673.
  • Marshall Wace Singapore is licensed by the Monetary Authority of Singapore (MAS), with a Capital Markets License in Fund Management and Dealing in Capital Market Products.
  • Marshall Wace Middle East Limited is regulated by the ADGM Financial Services Regulatory Authority.

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.

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