MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED of LONDON is an SEC-registered investment adviser (CRD 105922). Regulatory assets under management: $174.5B.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 55 people.
| Name | Role | Location |
|---|---|---|
| Zoe Victoria Woodbine Parish | DIRECTOR | Senningerberg, N4 |
| KELLY E CAMERON | DIRECTOR & MANAGING DIRECTOR | EDINBURGH, X0 |
| Russell Miller | CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR | Lake Oswego, OR |
| Ruairi O'Healai | DIRECTOR; DIRECTOR & MANAGING DIRECTOR | — |
| Edward Richard Heron | CHIEF LEGAL OFFICER | — |
| Benjamin John Juergens | CHIEF COMPLIANCE OFFICER | — |
| Yiwen Goh | DIRECTOR | — |
| Parminder Kaur Fells | DIRECTOR | — |
| Fiona Cameron Kelly | DIRECTOR & MANAGING DIRECTOR | — |
| OTTO CARSTEN | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| GERMANY JAMES DAVID | CHIEF INVESTMENT OFFICER, GLOBAL FIXED INCOME, DIRECTOR & MANAGING DIRECTOR; DIRECTOR & MANAGING DIRECTOR | — |
| STONE GRAHAM WILLIAM ALEXANDER | CHIEF COMPLIANCE OFFICER & EXECUTIVE DIRECTOR; COMPLIANCE OFFICER & EXECUTIVE DIRECTOR; COMPLIANCE OFFICER & VICE PRESIDENT | — |
| TUCKER MARTIN HUW | FINANCE OFFICER | — |
| GREEN MICHAEL SIMON | CHIEF EXECUTIVE OFFICER, DIRECTOR & MANAGING DIRECTOR; DIRECTOR & MANAGING DIRECTOR | — |
| ONSLOW ANDREW | DIRECTOR & EXECUTIVE DIRECTOR; DIRECTOR & MANAGING DIRECTOR | — |
| WRIGHT PETER | DIRECTOR & MANAGING DIRECTOR | — |
| GEORGE HYWEL | CHIEF INVESTMENT OFFICER OF EQUITY, DIRECTOR & MANAGING DIRECTOR | — |
| VAN SETTEN LODEWIJK DIRK | DIRECTOR & MANAGING DIRECTOR; LEGAL OFFICER & MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| MCALINDEN JOSEPH JOHN | CHIEF INVESTMENT OFFICER | — |
| BORRIE HESTER | DIRECTOR & MANAGING DIRECTOR | — |
| ODELL CHRISTOPHER LEROY | CHIEF LEGAL OFFICER | — |
| LODWICK JEREMY GOULDING | DIRECTOR & MANAGING DIRECTOR | — |
| RYAN KEITH JAMES | DIRECTOR & MANAGING DIRECTOR | — |
| LYNCH LUCY DOMINICA | LEGAL OFFICER & EXECUTIVE DIRECTOR; LEGAL OFFICER & MANAGING DIRECTOR; LEGAL OFFICER & PRINCIPAL | — |
| RUSSO STEFANO | DIRECTOR & MANAGING DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-06 | regulatory | THE HELLENIC CAPITAL MARKET COMMISSION (HCMC) ALLEGED THAT MORGAN STANLEY COMMITTED MARKET MANIPULATION PURSUANT TO ARTICLE 7, PAR. 2(C) OF LAW 3340/2005 BY DISCLOSING THAT THE FIRM, THROUGH VARIOUS SUBSIDIARIES, HAD ACQUIRED MORE THAN 5% OF ALPHA BANK, HOWEVER 4.16% OF THE HOLDING WAS HELD BY A SUB… | Final | $53K |
| 2016-03-22 | regulatory | THE PORTUGUESE SECURITIES MARKET COMMISSION (CMVM) ALLEGED THAT THE FIRM DID NOT NOTIFY THE CMVM OR THE ISSUING COMPANY OF CHANGES TO CERTAIN QUALIFYING HOLDINGS WITHIN THE REQUIRED TIME PERIOD, IN VIOLATION OF ARTICLE 16 OF THE PORTUGUESE SECURITIES CODE | Final | — |
| 2016-02-11 | regulatory | THE NEW YORK ATTORNEY GENERAL'S OFFICE ("NYAG") ALLEGED THAT MORGAN STANLEY VIOLATED NEW YORK LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2006 AND 2007. | Final | $150.0M |
| 2016-02-11 | regulatory | THE ILLINOIS ATTORNEY GENERAL'S OFFICE ("ILAG") ALLEGED THAT MORGAN STANLEY VIOLATED ILLINOIS LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2002 AND 2008. | Final | $22.5M |
| 2014-08-21 | regulatory | HCMC ALLEGED THAT MS FAILED TO PROPERLY OR TIMELY REPORT WHEN MS HOLDINGS IN CERTAIN COMPANIES INCREASED OR DECREASED BY MORE THAN 3%, OR EXCEEDED OR FELL BELOW 5%, 10% AND 15% THRESHOLDS, AS REQUIRED BY GREEK PRESIDENTIAL DECREE PD 51/1992 AND LAW 3556/2007. | Final | $94K |
| 2013-06-27 | regulatory | MSIM LTD. FAILED TO REPORT A DECREASE IN ITS SHAREHOLDING BELOW 5% OF THE OUTSTANDING VOTING SHARES OF A SWEDISH EQUITY SECURITY. | Final | $8K |