FinesFSMA
Morgan Stanley & Co. International Plc
FRN 16593513 May 2009Fine · £1,400,000
Filed under2009
01 · In plain English
What happened.
On 13 May 2009, the Financial Services Authority (the FCA's predecessor) fined Morgan Stanley & Co. International Plc £1,400,000.
A fuller summary is on its way. The FCA's own text below is the official record.
02 · Enforcement details
What the FCA register says.
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).
03 · Firm details
Firm on the FCA register.
- Firm name
- Morgan Stanley & Co. International Plc
- Firm reference number
- 165935
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