Morgan Stanley Investment Management Limited

• Principal Place of Business

  25 Cabot Square

  London

  E14 4QA

  UNITED KINGDOM

  Phone

  +442074258000

  Web

  https://www.morganstanley.com

• Complaints Contact

  Morgan Stanley

  20 Bank Street

  London

  Tower Hamlets

  E14 4AD

  UNITED KINGDOM

  Phone

  +442074258000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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 Eligible Counterparty, Professional, Retail (Investment), 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Future (excluding a commodity future and a rolling spot forex contract), 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), Unit

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  • · Unable to (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation 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.

• Javier Fuente Poblador

  IRN JXF88982

  • [FCA CF] Manager of certification employee (since 7 Mar 2023)
  • [FCA CF] Significant management (since 14 Jul 2022)
  • [FCA CF] Manager of certification employee (7 Mar 2020 to 6 Mar 2022)
  • [FCA CF] Material risk taker (7 Mar 2020 to 6 Mar 2022)
• Javier de Haro Martin

  IRN JXD00799

  • [FCA CF] Client dealing (since 4 Apr 2024)
  • [FCA CF] Manager of certification employee (since 4 Apr 2024)
• Jaymeen Patel

  IRN JXP01619

  • [FCA CF] Manager of certification employee (7 Mar 2020 to 28 Aug 2020)
  • [FCA CF] Client dealing (7 Mar 2020 to 28 Aug 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (14 Mar 2005 to 31 Oct 2007)
• Jayson Ian Vowles

  IRN JIV01001

  • CF30 Customer (1 Nov 2007 to 15 Jun 2009)
  • CF27 Investment Management (31 May 2005 to 31 Oct 2007)
• Jean Didier Marius Beaubois

  IRN JXB02234

  • CF30 Customer (1 Nov 2007 to 4 Jul 2010)
  • CF27 Investment Management (20 Jan 2006 to 31 Oct 2007)
• Jean-Charles Deudon de le Vielleuze

  IRN JXD00612

  • [FCA CF] Manager of certification employee (since 20 Jun 2022)
  • [FCA CF] Client dealing (since 20 Jun 2022)
• Jean-Paul Lim

  IRN JXL01454

  • CF10 Compliance Oversight (15 Dec 2014 to 10 Jul 2015)
• Jeffrey Mueller

  IRN JDM01192

  • [FCA CF] Significant management (since 25 Mar 2024)
  • [FCA CF] Manager of certification employee (since 28 Jan 2022)
  • [FCA CF] Client dealing (since 28 Jan 2022)
• Jeremy Goulding Lodwick

  IRN JGL01027

  • CF16 Significant Mgt (Desgntd Investment Business) (16 May 2002 to 30 Jun 2004)
  • CF1 Director (16 May 2002 to 30 Jun 2004)
  • CF27 Investment Management (1 Dec 2001 to 30 Jun 2004)
• Jeremy Simon Robson Brown

  IRN JSR01047

  • [FCA CF] Significant management (25 Mar 2024 to 31 Mar 2025)
  • [FCA CF] Material risk taker (1 Sep 2023 to 31 Mar 2025)
  • [FCA CF] Client dealing (8 Feb 2022 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (8 Feb 2022 to 31 Mar 2025)

No changes recorded yet.