Morgan Stanley & Co. International Plc

• Principal Place of Business

  25 Cabot Square

  London

  E14 4QA

  UNITED KINGDOM

  Phone

  +4402074258000

  Web

  https://www.morganstanley.com

• Complaints Contact

  Morgan Stanley

  20 Bank Street

  London

  Tower Hamlets

  E14 4AD

  UNITED KINGDOM

  Phone

  +4402074258000

• Private Fund Guardian

  Show 1 limitation Hide limitations

  • · General limitation The firm can perform only the depositary functions specified. Article 21(8)(a) The firm may act as trustee or depositary of non-EEA AIFs performing the safekeeping function under Article 21(8)(a) of AIFMD

• Financial Benchmarks

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations 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.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets
  • · 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, Retail (Investment), 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, Life Policy, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets

• Insurance Admin

  For Commercial, Life Policy

• Carbon Auction Bidding

  For Eligible Counterparty, Professional, Emissions Auction Product

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations 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.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations 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.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations 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.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations 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.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Binary bets

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Charlie Maltby

  IRN CXM00748

  • [FCA CF] Manager of certification employee (since 1 Sep 2022)
  • [FCA CF] Client dealing (since 1 Sep 2022)
• Charlotte Alexandra Swing

  IRN CAS01160

  • CF30 Customer (1 Nov 2007 to 30 May 2009)
  • CF21 Investment Adviser (3 Nov 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (17 Mar 2005 to 3 Nov 2006)
• Charlotte Alice Glyn

  IRN CAG01129

  • CF30 Customer (19 Sep 2011 to 22 Mar 2012)
• Charlotte Amanda Amzallag

  IRN CAA01033

  • CF30 Customer (1 Nov 2007 to 17 Feb 2009)
  • CF21 Investment Adviser (29 Jul 2004 to 31 Oct 2007)
• Charlotte Bianca Watts

  IRN CBW01017

  • CF30 Customer (1 Nov 2007 to 26 Oct 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Charlotte Clare Morris

  IRN CXM86599

  • [FCA CF] Manager of certification employee (since 9 May 2023)
  • [FCA CF] Client dealing (since 9 May 2023)
• Charlotte Creager

  IRN CEC01089

  • [FCA CF] Manager of certification employee (since 26 Jun 2023)
  • [FCA CF] Client dealing (since 26 Jun 2023)
  • [FCA CF] Material risk taker (1 Sep 2023 to 6 Mar 2026)
• Charlotte Elizabeth Mary Bateman

  IRN CXB00851

  • [FCA CF] Client dealing (since 11 Sep 2023)
• Charlotte Firkins

  IRN CXF00282

  • [FCA CF] Client dealing (since 27 Feb 2023)
• Charlotte Katharina Marianne Rahn

  IRN CXR01704

  • [FCA CF] Manager of certification employee (7 Mar 2021 to 31 May 2024)
  • [FCA CF] Client dealing (25 Sep 2018 to 31 May 2024)
  • CF30 Customer (20 Oct 2015 to 6 Mar 2016)

No changes recorded yet.