X0405 TA-1/A 0001176005 XXXXXXXX 084-06041 true LIVE SEC EATON VANCE MANAGEMENT EVM 269142 One Post Office Square BOSTON MA 02109 N 617-482-8260 N N N N Other Morgan Stanley Capital Management, LLC 08/01/2023 Parent Registrant is a wholly-owned subsidiary Massachusetts Business Trust Y Morgan Stanley Morgan Stanley Capital Management, LLC is a wholly-owned subsidiary of Morgan Stanley N N N N N Y Morgan Stanley Investment Management Inc. FL-3607 11/16/2011 U.S. Securities and Exchange Commission 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. 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. Y Morgan Stanley Investment Management Inc. 3-17016 12/22/2015 U.S. Securities and Exchange Commission 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. 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. Morgan Stanley Investment Management Inc. FL-3607 11/16/2011 U.S. Securities and Exchange Commission 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. 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. N Y Morgan Stanley Investment Management Inc. FL-3607 11/16/2011 U.S. Securities and Exchange Commission 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. 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. Morgan Stanley Investment Management Inc. 3-17016 12/22/2015 U.S. Securities and Exchange Commission 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. 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. Y Morgan Stanley No docket/case number 02/11/2016 U.S. DEPARTMENT OF JUSTICE 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. 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. Morgan Stanley No docket/case number 02/11/2016 OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF ILLINOIS 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. 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. Morgan Stanley No docket/case number 02/11/2016 ATTORNEY GENERAL OF THE STATE OF NEW YORK 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. 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. Y Morgan Stanley No docket/case number 02/11/2016 U.S. DEPARTMENT OF JUSTICE 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. 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. Morgan Stanley No docket/case number 02/11/2016 OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF ILLINOIS 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. 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. Morgan Stanley No docket/case number 02/11/2016 ATTORNEY GENERAL OF THE STATE OF NEW YORK 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. 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. N N N N N N N N Y MORGAN STANLEY F.092.22/3408 08/21/2014 HELLENIC CAPITAL MARKET COMMISSION 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. MS PAID A SUMMARY FINE OF 71,000 EURO. MORGAN STANLEY 1/746/01.21.2016 03/06/2017 HELLENIC CAPITAL MARKET COMMISSION 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. MS PAID A SUMMARY FINE OF 50,000 EURO. MORGAN STANLEY ADMINISTRATIVE OFFENSE PROCEEDINGS NO. 20/2014 03/22/2016 PORTUGUESE SECURITIES MARKET COMMISSION 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. 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. MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD. 2011-6 06/24/2011 JAPAN FINANCIAL SERVICES AGENCY ("FSA") 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. ADVISER PAID A PENALTY OF $15,523. N N N Laura Donovan 617-672-8061 Chief Compliance Officer 12/09/2025