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.

• Reji Thomas Vettasseri

  IRN RTV01011

  • CF30 Customer (2 Feb 2016 to 11 Oct 2019)
• Rekha Pattnaik

  IRN RXP00432

  • [FCA CF] Manager of certification employee (since 24 Aug 2022)
  • [FCA CF] Significant management (since 24 Aug 2022)
• Riccardo Bindi

  IRN RXB01281

  • [FCA CF] Client dealing (7 Mar 2020 to 28 Aug 2020)
  • [FCA CF] Manager of certification employee (7 Mar 2020 to 28 Aug 2020)
  • [FCA CF] Material risk taker (7 Mar 2020 to 28 Aug 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (18 Dec 2006 to 31 Oct 2007)
• Richard Andrew Ford

  IRN RAF01094

  • [FCA CF] Significant management (25 Mar 2024 to 30 Sep 2024)
  • [FCA CF] Material risk taker (7 Mar 2020 to 30 Sep 2024)
  • [FCA CF] Client dealing (7 Mar 2020 to 30 Sep 2024)
  • [FCA CF] Manager of certification employee (7 Mar 2020 to 30 Sep 2024)
  • CF30 Customer (21 Oct 2008 to 8 Dec 2019)
  • CF27 Investment Management (12 Dec 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (8 Apr 2002 to 12 Dec 2003)
• Richard Andrew Lockwood

  IRN RAL01059

  • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2024)
  • CF1 Director (11 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (18 Aug 2008 to 8 Dec 2019)
• Richard Francis Brereton

  IRN RFB01031

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 1 Oct 2002)
• Richard Gavin Davidson

  IRN RGD01041

  • CF1 Director (5 Aug 2004 to 4 Feb 2005)
  • CF16 Significant Mgt (Desgntd Investment Business) (13 Jul 2004 to 4 Feb 2005)
  • CF27 Investment Management (20 Nov 2003 to 4 Feb 2005)
• Richard Henry Matthew Perrott

  IRN RHP01054

  • [FCA CF] Client dealing (since 7 Mar 2020)
  • [FCA CF] Manager of certification employee (since 7 Mar 2020)
  • [FCA CF] Material risk taker (7 Mar 2020 to 6 Mar 2023)
  • CF30 Customer (26 Aug 2015 to 8 Dec 2019)
• Richard Kampelenge Mhende

  IRN RKM01041

  • CF30 Customer (1 Nov 2007 to 30 Sep 2010)
  • CF27 Investment Management (30 Apr 2007 to 31 Oct 2007)
• Richard Sarsfield

  IRN RJS01519

  • [FCA CF] Client dealing (7 Mar 2020 to 27 Jul 2025)
  • [FCA CF] Manager of certification employee (7 Mar 2020 to 27 Jul 2025)
  • CF30 Customer (13 May 2016 to 8 Dec 2019)

No changes recorded yet.