Morgan Stanley · NYSE:MS

Morgan Stanley — Investor Presentation (October 2015)

15 slides from Morgan Stanley's investor presentation, Oct 1, 2015

  1. Slide 1: Memorandum: Meeting with Representatives of Morgan Stanley

    MEMORANDUM TO: File No. S7-02-10 FROM: Chris Grobbel Division of Trading and Markets DATE: October 1, 2015 RE: Meeting with Representatives of Morgan Stanley On October 1, 2015, David Shillman, Theodore Venuti, Arisa Tinaves, Steve Kuan, Christopher Grobbel, and Andrew Sioson met with Andrew Silverm

  2. Slide 2: Order Handling Transparency

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\1 Institutional Equity Division Order Handling Transparency October 2015

  3. Slide 3: Table of Contents

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\3 Institutional Equity Division Table of Contents I. Standardized Client Specific Venue Analysis Template II. Public Disclosure of Routing and Execution of Non-Direc

  4. Slide 4: Considerations

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\4 Institutional Equity Division Considerations • Provide institutional clients with mandated transparency around order handling practices in today’s environment • Pr

  5. Slide 5: Standardized Client Specific Venue Analysis Template

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\5 Institutional Equity Division Standardized Client Specific Venue Analysis Template [Firm Name] - Venue Analysis Report [Client Name] [Data Range for Data] Routing

  6. Slide 6: Public Disclosure of Routing and Execution of Non-Directed Institutional Orders

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\6 Institutional Equity Division Public Disclosure of Routing and Execution of Non-Directed Institutional Orders Public Disclosure of Routing and Execution of Non-Dir

  7. Slide 7: U.S. Equity Order Handling and Routing Practices FAQ

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\7 Institutional Equity Division Public U.S. Equity Order Handling and Routing Practices Frequently Asked Questions [Firm Name] U.S. Equity Order Handling & Routing P

  8. Slide 8: Frequently Asked Questions (cont'd)

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\7 Institutional Equity Division Public U.S. Equity Order Handling and Routing Practices Frequently Asked Questions (cont’d) 11. Does the Firm’s smart order router(s)

  9. Slide 9: Frequently Asked Questions (cont'd)

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\7 Institutional Equity Division Public U.S. Equity Order Handling and Routing Practices Frequently Asked Questions (cont’d) II. Internal Dark Pool(s) (Firms that ope

  10. Slide 10: Frequently Asked Questions (cont'd)

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\7 Institutional Equity Division Public U.S. Equity Order Handling and Routing Practices Frequently Asked Questions (cont’d) 35. During which hours does the Firm’s da

  11. Slide 11: Frequently Asked Questions (cont'd)

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\7 Institutional Equity Division Public U.S. Equity Order Handling and Routing Practices Frequently Asked Questions (cont’d) III. External Dark Pools 47. What externa

  12. Slide 12: Appendix

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck Oct 2015 9 25 15 DRAFT.pptx\25 SEP 2015\5:13 PM\18 Institutional Equity Division Appendix 11

  13. Slide 13: Key Considerations – Disclosures to the Order Placer

    Confidential Document of Morgan Stanley – For Information Purposes Only Institutional Equity Division Key Considerations – Disclosures to the Order Placer • Consideration 1: Attribution/Actual Execution Venue Disclosure – Order Placer is entitled to know where its order was ultimately executed  the

  14. Slide 14: Addressing Aggressive Order Handling Practices

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck 5 20 13 v20c.pptx\21 MAY 2013\12:59 PM\7 Institutional Equity Division Addressing Aggressive Order Handling Practices Open Issue Being Discussed Since 2008 Current State Recommendations • Order Handling & Executio

  15. Slide 15: Copyright and Disclaimer

    Confidential Document of Morgan Stanley – For Information Purposes Only SEC Slide Deck 5 20 13 v20c.pptx\21 MAY 2013\12:59 PM\12 Institutional Equity Division Copyright © 2015 Morgan Stanley. All rights reserved. Services are offered through Morgan Stanley & Co. LLC (“Morgan Stanley”), Member SIPC.

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