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

  Show 1 limitation Hide limitations

  • · 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.

• Amy Freeman

  IRN AXF01680

  • [FCA CF] Manager of certification employee (8 Feb 2017 to 2 Jul 2022)
  • [FCA CF] Client dealing (8 Feb 2017 to 2 Jul 2022)
  • CF30 Customer (20 Sep 2011 to 15 Apr 2014)
• Amy Georgina Livingstone

  IRN AGL01064

  • [FCA CF] Manager of certification employee (7 Mar 2018 to 16 May 2024)
  • [FCA CF] Client dealing (7 Sep 2016 to 16 May 2024)
  • CF30 Customer (23 Oct 2012 to 6 Mar 2016)
• Amy Georgina Sergeant

  IRN AGS01175

  • [FCA CF] Manager of certification employee (since 7 Mar 2019)
  • [FCA CF] Client dealing (since 1 Jun 2017)
  • CF30 Customer (7 Oct 2013 to 6 Mar 2016)
• Amy Gorrighan

  IRN AXG01906

  • CF30 Customer (16 Jan 2009 to 26 Oct 2010)
• Amy Hillier

  IRN AXH01992

  • [FCA CF] Client dealing (since 22 Sep 2025)
• Amy Lucinda Walker

  IRN ALW01064

  • CF30 Customer (13 Aug 2010 to 21 Jan 2016)
• Amy Ya

  IRN AXY01091

  • CF30 Customer (1 Nov 2007 to 3 Jul 2015)
  • CF26 Customer Trading (24 Oct 2007 to 31 Oct 2007)
• Amyn Husain

  IRN AXH01295

  • CF21 Investment Adviser (1 Dec 2001 to 10 Jun 2005)
• Ana Aleksandria

  IRN AXA00486

  • [FCA CF] Client dealing (26 Oct 2021 to 3 Mar 2024)
• Ana Beatriz Carvalho Duarte

  IRN AXD88798

  • [FCA CF] Client dealing (7 Oct 2019 to 1 Oct 2020)

No changes recorded yet.