urities exchanges and clearing organizations. In addition, MSSB LLC is a registered investment adviser with the Securities and Exchange Commission. MSSB LLC’s relationship with its investment advisory clients is subject to the fiduciary and other obligations imposed on investment advisors under the Investment Advisers Act of 1940, and the rules and regulations promulgated thereunder, as well as various state securities laws. MS&Co. and MSSB LLC are members of the Securities Investor Protection Corporation, which provides protection for customers of broker-dealers against losses in the event of the insolvency of a broker-dealer. Regulation of Futures Activities and Certain Commodities Activities: MS&Co., as a futures commission merchant, and MSSB LLC, as an introducing broker, are subject to net capital requirements of, and their activities are regulated by, the U.S. Commodity Futures Trading Commission, the National Futures Association, a registered futures association, and various commodity futures exchanges. Derivatives Regulation: Through the Dodd-Frank Wall Street Reform and Consumer Protection Act, the company faces an U.S. regulatory regime for its activities in certain OTC derivatives. Investment Management Majority of the subsidiaries engaged in the company’s asset management activities are registered as investment advisers with the Securities and Exchange Commission. The Financial Conduct Authority is the primary regulator of the company’s business in the U.K.; the Financial Services Agency regulates the company’s business in Japan; the Hong Kong Securities and Futures Commission regulates the company’s business in Hong Kong; and the Monetary Authority of Singapore regulates the company’s business in Singapore. Anti-Money Laundering and Economic Sanctions: The company has also implemented policies, procedures, and internal controls that are designed to comply with the regulations and economic sanctions programs administered by the U.S. Treasury’s Office of Foreign Assets Control, which target foreign countries, entities, and individuals based on external threats to the U.S. foreign policy, national security or economic interests, and as applicable similar sanctions programs imposed by foreign governments or global or regional multilateral organizations, such as the United Nations Security Council and the E.U. Council. Anti-Corruption: The company is subject to applicable anti-corruption laws, such as the U.S. Foreign Corrupt Practices Act and the U.K. Bribery Act, in the jurisdictions in which it operates. Protection of Client Information: Majority aspects of the company’s businesses are subject to legal requirements concerning the use and protection of certain customer information, including those adopted pursuant to the Gramm-Leach-Bliley Act and the Fair and Accurate Credit Transactions Act of 2003 in the U.S., the E.U. Data Protection Directive and various laws in Asia, including the Japanese Personal Information (Protection) Law, the Hong Kong Personal Data (Protection) Ordinance and the Australian Privacy Act. Compensation Practices and Other Regulation: The company’s compensation practices are subject to oversight by the Board of Governors of the Federal Reserve System. The company is subject to the compensation-related provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. History Morgan Stanley was founded in 1935. The company was incorporated under the laws of the state of Delaware in 1981.
(MS:New York Consolidated)
New York, NY 10036
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