Firm history · FRN 165935

Morgan Stanley & Co. International Plc

FRN 1659351 enforcement action

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01 · Enforcement history

All actions on record.

13 May 2009

Fines

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).

Date	Action	Description
13 May 2009	Fines	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).

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