FinesFSMA
Morgan Stanley & Co. International Plc
FRN 16593513 May 2009
01 · Enforcement details
What the FCA found.
The FSA gave Morgan Stanley a Decision Notice dated 1 April 2009 which notified Morgan Stanley that pursuant to section 206 of the Financial Services and Markets Act 2000 (the Act), the FSA had decided to impose a financial penalty of £1.4 million on Morgan Stanley for breaches of Principles 2 and 3 of the FSA's Principles for Businesses (the Principles) which occurred between November 2007 and May 2008 (the Relevant Period).
02 · Firm details
Firm on the FCA register.
- Firm name
- Morgan Stanley & Co. International Plc
- Firm reference number
- 165935
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