# EDGAR Filing Document

**Accession Number:** 0001176005
**File Stem:** 0001176005-25-000007
**Filing Date:** 2025-12
**Character Count:** 17325
**Document Hash:** dc3c8eed09b13a154ba4e9fa1ccfe442
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001176005-25-000007.hdr.sgml**: 20260113

**ACCESSION NUMBER**: 0001176005-25-000007

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251209

**DATE AS OF CHANGE**: 20260113

**EFFECTIVENESS DATE**: 20251219

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** EATON VANCE MANAGEMENT EVM
- **CENTRAL INDEX KEY:** 0001176005

**ORGANIZATION NAME:**
- **EIN:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06041
- **FILM NUMBER:** 26529313

**BUSINESS ADDRESS:**
- **STREET 1:** ONE POST OFFICE SQUARE
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02109
- **BUSINESS PHONE:** 617-482-8260

**MAIL ADDRESS:**
- **STREET 1:** ONE POST OFFICE SQUARE
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02109

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** EATON VANCE MANAGEMENT EVM

**FINS Number:** 269142

**Address of principal office where transfer agent activities are performed:** One Post Office Square, BOSTON, MA, 02109

**Is mailing address different from principal office address?:** No

**Telephone Number:** 617-482-8260

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Other

**Description (if Other):** Massachusetts Business Trust

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** Morgan Stanley

- **Agreement Description:** Morgan Stanley Capital Management, LLC is a wholly-owned subsidiary of Morgan Stanley

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name                            | Relationship Start Date   | Title or Status   | Authority Description                   |
|:---|:---|:---|:---|
| Morgan Stanley Capital Management, LLC | 08/01/2023                | Parent            | Registrant is a wholly-owned subsidiary |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** Yes

  - **Details #1:**

    - **Entity Name:** Morgan Stanley Investment Management Inc.

    - **Action Title:** FL-3607

    - **Action Date:** 11/16/2011

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND MORGAN STANLEY INVESTMENT MANAGEMENT INC. ("MSIM INC.") NEITHER ADMITTED NOR DENIED THAT MSIM INC. VIOLATED SECTIONS 15(C) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940, SECTIONS 206(2) AND SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER WHEN IT REPRESENTED TO SHAREHOLDERS AND THE BOARD OF DIRECTORS OF THE MALAYSIA FUND, INC., A CLOSED-END FUND ADVISED BY MSIM INC., THAT AN UNAFFILIATED FOREIGN SUB-ADVISER TO THE FUND WAS PROVIDING CERTAIN SERVICES TO THE FUND, WHEN IN FACT THE SUB-ADVISER WAS NOT PROVIDING THOSE SERVICES.

    - **Disposition:** CEASE AND DESIST ORDER; REIMBURSED FUND $1,845,074.92, LESS A CREDIT OF $543,000 FOR PORTION ALREADY REIMBURSED; CIVIL MONEY PENALTY OF $1,500,000; CENSURED AND ORDERED TO IMPLEMENT AND MAINTAIN CERTAIN POLICIES AND PROCEDURES.

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** Morgan Stanley Investment Management Inc.

    - **Action Title:** 3-17016

    - **Action Date:** 12/22/2015

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** Pursuant to an offer of settlement, the SEC found, and MSIM neither admitted nor denied, that MSIM willfully violated Section 17(a)(3) of the Securities Act of 1933 (Securities Act) and Section 206(2) of the Investment Advisers Act of 1940 (Advisers Act), violated Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder, aided and abetted and caused a violation of Section 17(a)(2) of the Investment Company Act of 1940 (Company Act), and failed reasonably to supervise a former MSIM portfolio manager/trader in connection with inappropriate prearranged sales and buybacks of fixed income securities at preset prices with a trader at an unaffiliated broker-dealer, which resulted in undisclosed favorable treatment of certain MSIM advisory clients over others.

    - **Disposition:** MSIM consented to an order finding violations of provisions of the Securities Act, Investment Company Act and Advisers Act, MSIM paid disgorgement of $774,272 plus interest to accounts disadvantaged in the transactions, and penalty of $8,000,00 to SEC.

  - **Details #2:**

    - **Entity Name:** Morgan Stanley Investment Management Inc.

    - **Action Title:** FL-3607

    - **Action Date:** 11/16/2011

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND MORGAN STANLEY INVESTMENT MANAGEMENT INC. ("MSIM INC.") NEITHER ADMITTED NOR DENIED, THAT MSIM INC. VIOLATED SECTIONS 15(C) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940, SECTIONS 206(2) AND SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER WHEN IT REPRESENTED TO SHAREHOLDERS AND THE BOARD OF DIRECTORS OF THE MALAYSIA FUND, INC., A CLOSED-END FUND ADVISED BY MSIM INC., THAT AN UNAFFILIATED FOREIGN SUB-ADVISER TO THE FUND WAS PROVIDING CERTAIN SERVICES TO THE FUND, WHEN IN FACT THE SUB-ADVISER WAS NOT PROVIDING THOSE SERVICES.

    - **Disposition:** CEASE AND DESIST ORDER; REIMBURSED FUND $1,845,074.92, LESS A CREDIT OF $543,000 FOR PORTION ALREADY REIMBURSED; CIVIL MONEY PENALTY OF $1,500,000; CENSURED AND ORDERED TO IMPLEMENT AND MAINTAIN CERTAIN POLICIES AND PROCEDURES.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** Yes

  - **Details #1:**

    - **Entity Name:** Morgan Stanley Investment Management Inc.

    - **Action Title:** FL-3607

    - **Action Date:** 11/16/2011

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND MORGAN STANLEY INVESTMENT MANAGEMENT INC. ("MSIM INC.") NEITHER ADMITTED NOR DENIED, THAT MSIM INC. VIOLATED SECTIONS 15(C) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940, SECTIONS 206(2) AND SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER WHEN IT REPRESENTED TO SHAREHOLDERS AND THE BOARD OF DIRECTORS OF THE MALAYSIA FUND, INC., A CLOSED-END FUND ADVISED BY MSIM INC., THAT AN UNAFFILIATED FOREIGN SUB-ADVISER TO THE FUND WAS PROVIDING CERTAIN SERVICES TO THE FUND, WHEN IN FACT THE SUB-ADVISER WAS NOT PROVIDING THOSE SERVICES.

    - **Disposition:** CEASE AND DESIST ORDER; REIMBURSED FUND $1,845,074.92, LESS A CREDIT OF $543,000 FOR PORTION ALREADY REIMBURSED; CIVIL MONEY PENALTY OF $1,500,000; CENSURED AND ORDERED TO IMPLEMENT AND MAINTAIN CERTAIN POLICIES AND PROCEDURES.

  - **Details #2:**

    - **Entity Name:** Morgan Stanley Investment Management Inc.

    - **Action Title:** 3-17016

    - **Action Date:** 12/22/2015

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** Pursuant to an offer of settlement, the SEC found, and MSIM neither admitted nor denied, that MSIM willfully violated Section 17(a)(3) of the Securities Act of 1933 (Securities Act) and Section 206(2) of the Investment Advisers Act of 1940 (Advisers Act), violated Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder, aided and abetted and caused a violation of Section 17(a)(2) of the Investment Company Act of 1940 (Company Act), and failed reasonably to supervise a former MSIM portfolio manager/trader in connection with inappropriate prearranged sales and buybacks of fixed income securities at pre-set prices with a trader at an unaffiliated broker-dealer, which resulted in undisclosed favorable treatment of certain MSIM advisory clients over others.

    - **Disposition:** MSIM consented to an order finding violations of provisions of the Securities Act, Investment Company Act and Advisers Act, MSIM paid disgorgement of $774,272 plus interest to accounts disadvantaged in the transactions, and penalty of $8,000,000 to SEC.

- **Federal/State agency found a false statement or omission?:** Yes

  - **Details #1:**

    - **Entity Name:** Morgan Stanley

    - **Action Title:** No docket/case number

    - **Action Date:** 02/11/2016

    - **Court/Body Name and Location:** U.S. DEPARTMENT OF JUSTICE

    - **Action Description:** THE U.S. DEPARTMENT OF JUSTICE ALLEGED THAT MORGAN STANLEY VIOLATED FEDERAL LAWS IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2005 AND 2007.

    - **Disposition:** SETTLED FOR $2,600,000,000 TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE-BACKED SECURITIES; AGREED TO COOPERATE WITH DEPARTMENT OF JUSTICE REGARDING MATTERS ARISING OUT OF THE CONDUCT COVERED BY THE SETTLEMENT.

  - **Details #2:**

    - **Entity Name:** Morgan Stanley

    - **Action Title:** No docket/case number

    - **Action Date:** 02/11/2016

    - **Court/Body Name and Location:** OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF ILLINOIS

    - **Action Description:** 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.

    - **Disposition:** SETTLED FOR $22.5 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING RESIDENTIAL MORTGAGE-BACKED SECURITIES; MADE IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE; DID NOT RESULT IN FINDING OF VIOLATIONS OF LAW.

  - **Details #3:**

    - **Entity Name:** Morgan Stanley

    - **Action Title:** No docket/case number

    - **Action Date:** 02/11/2016

    - **Court/Body Name and Location:** ATTORNEY GENERAL OF THE STATE OF NEW YORK

    - **Action Description:** 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.

    - **Disposition:** SETTLED FOR $150 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE-BACKED SECURITIES; PROVIDED $400 MILLION OF CONSUMER RELIEF; SETTLED IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE.

- **Federal/State agency found a violation of investment-related regulations?:** Yes

  - **Details #1:**

    - **Entity Name:** Morgan Stanley

    - **Action Title:** No docket/case number

    - **Action Date:** 02/11/2016

    - **Court/Body Name and Location:** U.S. DEPARTMENT OF JUSTICE

    - **Action Description:** THE U.S. DEPARTMENT OF JUSTICE ALLEGED THAT MORGAN STANLEY VIOLATED FEDERAL LAWS IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2005 AND 2007.

    - **Disposition:** SETTLED FOR $2,600,000,000 TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE-BACKED SECURITIES; AGREED TO COOPERATE WITH DEPARTMENT OF JUSTICE REGARDING MATTERS ARISING OUT OF THE CONDUCT COVERED BY THE SETTLEMENT.

  - **Details #2:**

    - **Entity Name:** Morgan Stanley

    - **Action Title:** No docket/case number

    - **Action Date:** 02/11/2016

    - **Court/Body Name and Location:** OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF ILLINOIS

    - **Action Description:** 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.

    - **Disposition:** SETTLED FOR $22.5 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING RESIDENTIAL MORTGAGE-BACKED SECURITIES; MADE IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE; DID NOT RESULT IN FINDING OF VIOLATIONS OF LAW.

  - **Details #3:**

    - **Entity Name:** Morgan Stanley

    - **Action Title:** No docket/case number

    - **Action Date:** 02/11/2016

    - **Court/Body Name and Location:** ATTORNEY GENERAL OF THE STATE OF NEW YORK

    - **Action Description:** 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.

    - **Disposition:** SETTLED FOR $150 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE-BACKED SECURITIES; PROVIDED $400 MILLION OF CONSUMER RELIEF; SETTLED IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE.

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** No

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** MORGAN STANLEY

    - **Action Title:** F.092.22/3408

    - **Action Date:** 08/21/2014

    - **Court/Body Name and Location:** HELLENIC CAPITAL MARKET COMMISSION

    - **Action Description:** 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.

    - **Disposition:** MS PAID A SUMMARY FINE OF 71,000 EURO.

  - **Details #2:**

    - **Entity Name:** MORGAN STANLEY

    - **Action Title:** 1/746/01.21.2016

    - **Action Date:** 03/06/2017

    - **Court/Body Name and Location:** HELLENIC CAPITAL MARKET COMMISSION

    - **Action Description:** 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 SUBSIDIARY AS CUSTODIAN ON BEHALF OF A CUSTOMER.

    - **Disposition:** MS PAID A SUMMARY FINE OF 50,000 EURO.

  - **Details #3:**

    - **Entity Name:** MORGAN STANLEY

    - **Action Title:** ADMINISTRATIVE OFFENSE PROCEEDINGS NO. 20/2014

    - **Action Date:** 03/22/2016

    - **Court/Body Name and Location:** PORTUGUESE SECURITIES MARKET COMMISSION

    - **Action Description:** 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.

    - **Disposition:** CMVM ISSUED A CAUTION FOR WILLFUL BREACH OF DUTY TO NOTIFY CMVM OF ITS QUALIFYING HOLDING AND DUTY TO NOTIFY THE ISSUING COMPANY OF ITS QUALIFYING HOLDING. CMVM ALSO REMINDED THE FIRM THAT IT IS UNDER STRICT LEGAL OBLIGATIONS THAT MUST BE COMPLIED WITH.

  - **Details #4:**

    - **Entity Name:** MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD.

    - **Action Title:** 2011-6

    - **Action Date:** 06/24/2011

    - **Court/Body Name and Location:** JAPAN FINANCIAL SERVICES AGENCY ("FSA")

    - **Action Description:** MSAITM FAILED TO SUBMIT THE BELOW REPORTS TO KANTO FINANCIAL BUREAU IN JAPAN BY THE BELOW DUE DATE. (I) REPORTS: LARGE SHAREHOLDING REPORTS AND CHANGE REPORTS (6 REPORTS IN TOTAL), (II) DUE DATE: JULY 23, 2009 TO OCTOBER 22, 2009.

    - **Disposition:** ADVISER PAID A PENALTY OF $15,523.

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Laura Donovan

**Title:** Chief Compliance Officer

**Date:** 12/09/2025

**Phone Number:** 617-672-8061