# EDGAR Filing Document

**Accession Number:** 0000924186
**File Stem:** 0000924186-26-000007
**Filing Date:** 2026-4
**Character Count:** 14549
**Document Hash:** f6bf34616efbbf612debedb2292cf006
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000924186-26-000007.hdr.sgml**: 20260501

**ACCESSION NUMBER**: 0000924186-26-000007

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 4

**FILED AS OF DATE**: 20260428

**DATE AS OF CHANGE**: 20260501

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MORGAN STANLEY & CO INTERNATIONAL PLC
- **CENTRAL INDEX KEY:** 0000924186

**ORGANIZATION NAME:**
- **EIN:** 980196143

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00167
- **FILM NUMBER:** 26929697

**BUSINESS ADDRESS:**
- **STREET 1:** 25 CABOT SQUARE CANARY WHARF
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E144QA
- **BUSINESS PHONE:** 44 207 425 8000

**MAIL ADDRESS:**
- **STREET 1:** 25 CABOT SQUARE CANARY WHARF
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E144QA

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MORGAN STANLEY & CO INTERNATIONAL LTD
- **DATE OF NAME CHANGE:** 19940527

### Attached PDF Documents

**Attachment 1:** `q13bksrecordmsipopin24.pdf`

_No text found in this document._

**Attachment 2:** `summaryofchangesmsip.pdf`

_No text found in this document._

**Attachment 3:** `msip7RApr2026.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** MORGAN STANLEY & CO INTERNATIONAL PLC

**NFA Number:** 238917

**IRS Employer ID No.:** 98-0196143

**CIK:** 0000924186

**Main Address:** 25 CABOT SQUARE CANARY WHARF, LONDON, X0, E144QA

**Business Telephone:** 44 207 425 8000

**Contact Employee:**

- **Name:** Karen Fenelon Smith

- **Title:** Vice President

- **Phone:** 44 207 677 2414

- **Email:** Karen.Fenelon@morganstanley.com

**Chief Compliance Officer:**

- **Name:** Benjamin John Juergens

- **Title:** Chief Compliance Officer

- **Phone:** 44 207 677 0406

- **Email:** Ben.Juergens@morganstanley.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** No

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** No

**Holds Customer Funds?:** Yes

**Description of Business:**
MSIP is Morgan Stanley's UK investment firm. Its services include capital raising; financial advisory services, including advice on mergers and acquisitions, restructurings, real estate and project finance; corporate lending; sales, trading, financing and market making activities in equity and fixed income securities and related products, including foreign exchange and commodities; and investment activities. MSIP currently operates branches in Seoul, Zurich, the Dubai International Financial Centre and the Qatar Financial Centre.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** No

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 18

### Schedule A: Principals

| Name                            | Title or Status                               | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Clare Woodman                   | Chief Executive Officer                       | 10/2018         | 02/2002              |  |       451781 |
| David Oliver Cannon             | Director                                      | 10/2013         | 06/2013              |  |       464242 |
| Henrik Gobel                    | Head of a Business Unit Division or Function  | 03/2017         | 06/1999              |  |       502573 |
| Noreen Philomena Whyte          | Director                                      | 06/2018         | 09/2005              |  |       478801 |
| Paul David Taylor               | Director                                      | 08/2020         | 08/2020              |  |       532536 |
| Salvatore Orlacchio             | Head Of A Business Unit Division or Function  | 06/2020         | 02/1997              |  |       531190 |
| Terri Duhon                     | Director                                      | 06/2016         | 06/2016              |  |       495618 |
| Melanie Richards                | Director                                      | 07/2021         | 06/2021              |  |       541263 |
| Anthony Mullineaux              | Chief Financial Officer                       | 12/2021         | 12/2007              |  |       544899 |
| Megan Veronica Butler           | Director                                      | 10/2022         | 10/2022              |  |       552063 |
| Jane Elizabeth Osmani Pearce    | Director                                      | 10/2022         | 10/2022              |  |       552066 |
| David Ernest John Cantillon     | Head Of A Business Unit Division or Function  | 01/2023         | 04/2007              |  |       293075 |
| Fiona Cameron Kelly             | Head of a Business Unit, Division or Function | 07/2023         | 12/1991              |  |       557464 |
| Christopher Edward Beatty       | Chief Operating Officer & Director            | 09/2023         | 08/2012              |  |       558220 |
| Benjamin John Juergens          | Chief Compliance Officer                      | 01/2024         | 08/2007              |  |       525365 |
| Anna Khazen                     | Director                                      | 07/2025         | 07/2025              |  |       571949 |
| Philipp Otto Kahre              | Director                                      | 11/2025         | 12/2015              |  |       574114 |
| Robert Alexander Talma Stheeman | Director                                      | 03/2026         | 03/2026              |  |       576416 |

### Schedule B: Explanations

**Records Keeper:**

- **Name:** Deloitte LLP

  - **Address:** Hill House, 1 Little New Street, London, X0, EC4A 3TR

  - **Effective Date:** 10-28-1986

  - **Arrangement:** The Firm uses Deloitte as the Auditor. In addition, the applicant makes use of firmwide arrangements whereby groupservice entities maintain systems infrastructure and corresponding records on behalf of other group operatingentities.

**Onbehalf:**

- **Name:** BME Clearing (Banco Mercado de Espana)

  - **Address:** PLAZA DE LA LEALTAD, 1, Madrid, U3, 28014

  - **Effective Date:** 08-08-2013

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** Cassa di Compensazione e Garanzia S.p.A. (CCG)

  - **Address:** VIA TOMACELLI 146, Rome, L6, 00186

  - **Effective Date:** 05-03-2013

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** European Commodity Clearing

  - **Address:** AUGUSTUSPLATZ 9, Leipzig, Saxony, Saxony, 2M, 04109

  - **Effective Date:** 04-22-2014

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** Eurex Clearing AG

  - **Address:** MERGENTHALERALLEE 61, Eschborn, Hesse, 2M, 65760

  - **Effective Date:** 12-11-2012

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** European Central Counterparty N.V.

  - **Address:** APOLLOLAAN 150, Amsterdam, P7, 1077BG

  - **Effective Date:** 03-21-2023

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** ICE Clear Europe Limited (ICE Clear Europe)

  - **Address:** 60 CHISWELL STREET, MILTON GATE, London, X0, EC1Y 4SA

  - **Effective Date:** 12-06-2012

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** LCH Ltd (London Clearing House)

  - **Address:** ALDGATE HOUSE, 33 ALDGATE HIGH STREET, London, X0, EC3N 1EA

  - **Effective Date:** 09-17-2022

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** LCH SA / LCH Clearnet SA / Banque Centrale de Compensation SA

  - **Address:** 18 RUE DU QUATRE SEPTEMBRE, Paris, I0, 75002

  - **Effective Date:** 05-10-2013

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** LME Clear Ltd (London Metal Exchange)

  - **Address:** 10 Finsbury Square, London, X0, EC2A 1AJ

  - **Effective Date:** 09-19-2014

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** Nasdaq OMX Clearing AB [Sweden + various Nordic]

  - **Address:** SE-105 78 STOCKHOLM, Stockholm, V7, SE-105 78

  - **Effective Date:** 08-20-2009

  - **Arrangement:** This is a CCP used by the firm that provides clearing and settlement services.

- **Name:** MEFF

  - **Address:** Pfingstweidstrasse 110, Zurich, V8, 8005

  - **Effective Date:** 01-01-2010

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** Nordic Growth Market & Nordic Derivatives Exchange

  - **Address:** Borsenstrasse 4, Stuttgart, 2M, 70174

  - **Effective Date:** 02-16-2015

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** CBOE (formerly BATS-Chi-X Europe)

  - **Address:** 11 Monument St, London, X0, EC3R 8AF

  - **Effective Date:** 11-12-2008

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** CBOE Europe B.V.

  - **Address:** 11 Monument St., London, X0, EC3R 8AF

  - **Effective Date:** 02-07-2019

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** Deutsche Borse Xetra

  - **Address:** The Cube, Mergenthalerallee 61, Eschborn, 2M, 65760

  - **Effective Date:** 10-01-1998

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** EUREX

  - **Address:** The Cube, Mergenthalerallee 61, Eschborn, 2M, 65760

  - **Effective Date:** 05-29-1998

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** Eurex Repo

  - **Address:** Eurex Repo GmbH, Frankfurt am Main, 2M, 60485

  - **Effective Date:** 01-16-2007

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** European Energy Exchange AG (EEX)

  - **Address:** Augustusplatz 9, Leipzig, 2M, 04109

  - **Effective Date:** 11-11-2003

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** Euronext

  - **Address:** Beursplein 5, Amsterdam, P7, 1012 JW

  - **Effective Date:** 06-23-2010

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** London Metal Exchange (LME)

  - **Address:** 10 Finsbury Square, London, X0, EC2A 1AJ

  - **Effective Date:** 12-01-2017

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** ICE Futures Europe

  - **Address:** 60 Chiswell St, London, X0, EC1Y 4SA

  - **Effective Date:** 07-16-2003

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** London Stock Exchange

  - **Address:** 10 Paternoster Square, London, X0, EC4M 7LS

  - **Effective Date:** 01-01-1998

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** Borsa Italiana - Equity MTF Market & IDEM

  - **Address:** P.za degli Affari, 6, Milan, L6, 20123

  - **Effective Date:** 11-29-2006

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** Nasdaq OMX Nordic Ltd - Copenhagen, Norway, Helsinki, Stockholm

  - **Address:** Nasdaq Woolgate Exchange, London, X0, EC2V 5HA

  - **Effective Date:** 10-31-2001

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** Norexeco ASA

  - **Address:** 8 Bouverie Street, Temple, London, X0, EC4Y 8AX

  - **Effective Date:** 10-30-2018

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** SIX SWISS EXCHANGE

  - **Address:** Pfingstweidstrasse 110, Zurich, V8, 8005

  - **Effective Date:** 02-26-2013

  - **Arrangement:** The Exchange is providing us with the ability to buy and sell instruments listed on their exchange.

- **Name:** MORGAN STANLEY HONG KONG SECURITIES LIMITED

  - **Address:** Unit 503 5/F The Executive Center, 2 Exchange Square, 8 Connaught Place, Hong Kong, K3, 0

  - **Effective Date:** 05-23-1991

  - **Arrangement:** affiliates through which we self settle

- **Name:** MORGAN STANLEY MUFG SECURITIES CO., LTD.

  - **Address:** 1-9-7 Otemachi Chiyoda-Ku, Tokyo, M0, 100-8104

  - **Effective Date:** 05-01-1996

  - **Arrangement:** affiliates through which we self settle

- **Name:** MORGAN STANLEY ASIA (SINGAPORE) SECURITIES PTE LTD.

  - **Address:** 23 Church Street, 16-01 Capital Square, Singapore, U0, 049481

  - **Effective Date:** 11-21-1992

  - **Arrangement:** affiliates through which we self settle

- **Name:** MORGAN STANLEY & CO. LLC

  - **Address:** 1585 BROADWAY, New York, 2J, 10036

  - **Effective Date:** 02-13-1969

  - **Arrangement:** affiliates through which we self settle

- **Name:** MORGAN STANLEY BANK AG

  - **Address:** GROSSE GALLUSSTRASSE 18, Frankfurt, 2M, 60312

  - **Effective Date:** 10-17-1986

  - **Arrangement:** affiliates through which we self settle

- **Name:** MORGAN STANLEY CANADA LIMITED

  - **Address:** 181 BAY ST SUITE 3700, Toronto, Z4, M5J 2T3

  - **Effective Date:** 09-24-1982

  - **Arrangement:** affiliates through which we self settle

### Execution

**Date:** 04-28-2026

**Name of Applicant:** MORGAN STANLEY & CO INTERNATIONAL PLC

**Signature:** Samiul Hoque

**Printed Name:** Samiul Hoque

**Title:** Vice President, Compliance