0001410368-17-000402.txt : 20170301 0001410368-17-000402.hdr.sgml : 20170301 20170301122732 ACCESSION NUMBER: 0001410368-17-000402 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170301 DATE AS OF CHANGE: 20170301 EFFECTIVENESS DATE: 20170301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Morgan Stanley China A Share Fund, Inc. CENTRAL INDEX KEY: 0001368493 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-21926 FILM NUMBER: 17652687 BUSINESS ADDRESS: STREET 1: 522 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 800-231-2608 MAIL ADDRESS: STREET 1: 522 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10036 NSAR-B 1 answer.fil MORGAN STANLEY CHINA A SHARE FUND, INC. ANSWER FILE PAGE 1 000 B000000 12/31/2016 000 C000000 0001368493 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 MORGAN STANLEY CHINA A SHARE FUND, INC. 001 B000000 811-21926 001 C000000 8002312608 002 A000000 522 FIFTH AVENUE 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10036 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 008 A000001 MORGAN STANLEY INVESTMENT MANAGEMENT INC. 008 B000001 A 008 C000001 801-15757 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10036 008 A000002 MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY 008 B000002 S 008 C000002 801-62173 008 D010002 CAPITAL SQUARE 008 D050002 SINGAPORE 008 D060002 049481 010 A000001 MORGAN STANLEY INVESTMENT MANAGEMENT INC. 010 B000001 801-15757 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10036 012 A000001 COMPUTERSHARE TRUST COMPANY, N.A. 012 B000001 85-05003 012 C010001 COLLEGE STATION 012 C020001 TX 012 C030001 77845 013 A000001 ERNST & YOUNG LLP 013 B010001 BOSTON 013 B020001 MA 013 B030001 02116 014 A000001 BTMU CAPITAL CORPORATION 014 B000001 8-00000 PAGE 2 014 A000002 BTMU LEASING & FINANCE 014 B000002 8-00000 014 A000003 BANK MORGAN STANLEY AG 014 B000003 8-00000 014 A000004 BANK OF TOKYO - MITSUBISHI UFJ LTD. 014 B000004 8-00000 014 A000005 BETTER ALTERNATIVE TRADING SYSTEM (BATS) 014 B000005 8-00000 014 A000006 BLOCK INTEREST DISCOVERY SERVICE (BIDS) 014 B000006 8-00000 014 A000007 KABU.COM SECURITIES 014 B000007 8-00000 014 A000008 MITSUBISHI UFJ MORGAN STANLEY SECURITIES CO. 014 B000008 8-00000 014 A000009 MITSUBISHI UFJ TRUST & BANKING CORP. 014 B000009 8-00000 014 A000010 MORGAN STANLEY & CO. LLC 014 B000010 8-15869 014 A000011 MORGAN STANLEY & CO. INTERNATIONAL PLC 014 B000011 8-00000 014 A000012 MORGAN STANLEY AUSTRALIA SECURITIES LIMITED 014 B000012 8-00000 014 A000013 MORGAN STANLEY ASIA INTERNATIONAL LIMITED 014 B000013 8-00000 014 A000014 MORGAN STANLEY ASIA (SINGAPORE) PTE 014 B000014 8-00000 014 A000015 MORGAN STANLEY ASIA (SINGAPORE) SECURITIES PT 014 B000015 8-00000 014 A000016 MORGAN STANLEY CANADA LIMITED 014 B000016 8-00000 014 A000017 MORGAN STANLEY CAPITAL SERVICES LLC 014 B000017 8-00000 014 A000018 MORGAN STANLEY C.T.V.M. S.A. 014 B000018 8-00000 014 A000019 MORGAN STANLEY DISTRIBUTION, INC. 014 B000019 8-44766 014 A000020 MORGAN STANLEY GATEWAY SECURITIES JSC 014 B000020 8-00000 014 A000021 MORGAN STANLEY HONG KONG SECURITIES LIMITED 014 B000021 8-00000 014 A000022 MORGAN STANLEY INDIA COMPANY PRIVATE LTD. 014 B000022 8-00000 014 A000023 MORGAN STANLEY MENKUL DEGERLER A.S. 014 B000023 8-00000 014 A000024 MORGAN STANLEY MEXICO, CASA DE BOLSA, SA DE C 014 B000024 8-00000 014 A000025 MORGAN STANLEY MUFG SECURITIES CO., LTD. 014 B000025 8-00000 014 A000026 MORGAN STANLEY SAUDI ARABIA 014 B000026 8-00000 014 A000027 MORGAN STANLEY SMITH BARNEY LLC PAGE 3 014 B000027 8-68191 014 A000028 MORGAN STANLEY TAIWAN LIMITED 014 B000028 8-00000 014 A000029 MORGAN STANLEY WEALTH MANAGEMENT AUSTRAILIA P 014 B000029 8-00000 014 A000030 MORGAN STANLEY, S.V. S.A. 014 B000030 8-00000 014 A000031 MUFG SECURITIES ASIA (SINGAPORE) LIMITED 014 B000031 8-00000 014 A000032 MUFG SECURITIES AMERICAS INC. 014 B000032 8-00000 014 A000033 MUFG SECURITIES ASIA LIMITED 014 B000033 8-00000 014 A000034 MUFG SECURITIES EMEA PLC 014 B000034 8-00000 014 A000035 MUNICENTER 014 B000035 8-00000 014 A000036 OOO MORGAN STANLEY BANK 014 B000036 8-00000 014 A000037 PRIME DEALER SERVICES CORP. 014 B000037 8-47025 014 A000038 PT. MORGAN STANLEY ASIA INDONESIA 014 B000038 8-00000 014 A000039 RMB MORGAN STANLEY 014 B000039 8-00000 014 A000040 TOKYO CREDIT SERVICES 014 B000040 8-00000 014 A000041 TRADEWEB 014 B000041 8-00000 014 A000042 UNION BANC INVESTMENT SERVICES 014 B000042 8-30706 014 A000043 UNIONBANCAL CORPORATION 014 B000043 8-00000 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02111 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 83 019 C000000 MSINSTLRET 020 A000001 CITIC SECURITIES COMPANY LTD 020 B000001 45-2741209 020 C000001 423 020 A000002 CHINA INTERNATIONAL CAPITAL CORPORATION LTD. 020 B000002 12-3456789 020 C000002 132 020 A000003 BEIJING GAO HUA SECURITIES 020 C000003 125 PAGE 4 020 A000004 BANK OF AMERICA CORP. 020 B000004 56-0906609 020 C000004 99 020 A000005 UBS AG 020 B000005 13-3203169 020 C000005 79 020 A000006 KIM ENG SECURITIES U.S.A. 020 B000006 13-3589747 020 C000006 5 020 A000007 MACQUARIE BANK LTD. 020 B000007 02-813122 020 C000007 3 020 A000008 JP MORGAN CHASE & CO. 020 B000008 13-2624428 020 C000008 2 020 A000009 SHENYIN WANGUO SECUR 020 C000009 0 020 A000010 CREDIT SUISSE 020 B000010 13-5659485 020 C000010 0 021 000000 869 022 A000001 STATE STREET BANK AND TRUST CO. 022 B000001 04-1867445 022 C000001 32758 022 D000001 33874 023 C000000 32758 023 D000000 33874 024 000000 Y 025 A000001 CITIC SECURITIES COMPANY LTD 025 B000001 45-2741209 025 C000001 E 025 D000001 16043 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 N 028 A010000 0 028 A020000 0 028 A030000 0 028 A040000 0 028 B010000 0 028 B020000 0 028 B030000 0 028 B040000 0 028 C010000 0 PAGE 5 028 C020000 0 028 C030000 0 028 C040000 0 028 D010000 0 028 D020000 0 028 D030000 0 028 D040000 0 028 E010000 0 028 E020000 0 028 E030000 0 028 E040000 0 028 F010000 0 028 F020000 0 028 F030000 0 028 F040000 0 028 G010000 0 028 G020000 0 028 G030000 0 028 G040000 0 028 H000000 0 030 A000000 0 030 B000000 0.00 030 C000000 0.00 031 A000000 0 031 B000000 0 032 000000 0 033 000000 0 035 000000 0 036 B000000 0 038 000000 0 042 A000000 0 042 B000000 0 042 C000000 0 042 D000000 0 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 0 044 000000 0 045 000000 Y 046 000000 N 047 000000 Y 048 000000 1.500 048 A010000 0 048 A020000 0.000 048 B010000 0 048 B020000 0.000 048 C010000 0 048 C020000 0.000 048 D010000 0 PAGE 6 048 D020000 0.000 048 E010000 0 048 E020000 0.000 048 F010000 0 048 F020000 0.000 048 G010000 0 048 G020000 0.000 048 H010000 0 048 H020000 0.000 048 I010000 0 048 I020000 0.000 048 J010000 0 048 J020000 0.000 048 K010000 0 048 K020000 0.000 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 N 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 N 054 M000000 Y 054 N000000 N 054 O000000 Y 055 A000000 Y 055 B000000 N 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 0 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 PAGE 7 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 N 066 D000000 Y 066 E000000 N 066 F000000 N 066 G000000 N 067 000000 N 068 A000000 N 068 B000000 Y 069 000000 N 070 A010000 Y 070 A020000 N 070 B010000 Y 070 B020000 N 070 C010000 Y 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 Y 070 E020000 N 070 F010000 Y 070 F020000 N 070 G010000 Y 070 G020000 N 070 H010000 Y 070 H020000 N 070 I010000 Y 070 I020000 N 070 J010000 Y 070 J020000 N 070 K010000 Y 070 K020000 Y 070 L010000 Y 070 L020000 Y 070 M010000 Y 070 M020000 Y 070 N010000 Y PAGE 8 070 N020000 N 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 Y 070 R020000 N 071 A000000 315859 071 B000000 314770 071 C000000 459046 071 D000000 69 072 A000000 12 072 B000000 48 072 C000000 10546 072 D000000 0 072 E000000 0 072 F000000 6994 072 G000000 373 072 H000000 0 072 I000000 8 072 J000000 697 072 K000000 0 072 L000000 65 072 M000000 14 072 N000000 0 072 O000000 0 072 P000000 0 072 Q000000 0 072 R000000 191 072 S000000 121 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 50 072 X000000 8513 072 Y000000 40 072 Z000000 2121 072AA000000 0 072BB000000 27156 072CC010000 0 072CC020000 16447 072DD010000 1689 072DD020000 0 072EE000000 15747 073 A010000 0.0772 073 A020000 0.0000 073 B000000 0.7196 073 C000000 0.0000 074 A000000 3334 PAGE 9 074 B000000 0 074 C000000 0 074 D000000 0 074 E000000 0 074 F000000 451779 074 G000000 0 074 H000000 0 074 I000000 493 074 J000000 944 074 K000000 0 074 L000000 0 074 M000000 29 074 N000000 456579 074 O000000 805 074 P000000 625 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 476 074 S000000 0 074 T000000 454673 074 U010000 21881 074 U020000 0 074 V010000 20.78 074 V020000 0.00 074 W000000 0.0000 074 X000000 14 074 Y000000 0 075 A000000 0 075 B000000 466275 076 000000 16.99 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 Y 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N PAGE 10 078 000000 N 080 A000000 ICI MUTUAL INSURANCE COMPANY 080 C000000 61000 081 A000000 Y 081 B000000 82 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 087 A010000 COMMON STOCK 087 A020000 617468103 087 A030000 CAF 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE ADA TAM TITLE DIRECTOR EX-99.77B ACCT LTTR 2 ChinaAShareAuditLetter.txt MORGAN STANLEY CHINA A SHARE FUND, INC. AUDIT LETTER Report of Independent Registered Public Accounting Firm To the Stockholders and Board of Directors of Morgan Stanley China A Share Fund, Inc. In planning and performing our audit of the financial statements of Morgan Stanley China A Share Fund, Inc. (the "Fund") as of and for the year ended December 31, 2016, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered its internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion. The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of December 31, 2016. This report is intended solely for the information and use of management and the Board of Directors of Morgan Stanley China A Share Fund, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ ERNST & YOUNG LLP Boston, Massachusetts February 28, 2017 EX-99.77O RULE 10F-3 3 77O.ChinaA.CE.txt MORGAN STANLEY CHINA A SHARE FUND, INC. RULE 10F-3 Morgan Stanley Institutional Funds, Inc. - Morgan Stanley China A Share Fund Inc. Item 77O- Transactions effected pursuant to Rule 10f-3 Securities Purchased: China Resources Pharmaceutical Purchase/Trade Date: 10/21/2016 Offering Price of Shares: HKD 9.100 Total Amount of Offering: 1,540,000,000 shares Amount Purchased by Fund: 7,500,000 shares Percentage of Offering Purchased by Fund: 0.487 % Percentage of Fund's Total Assets: 1.84 % Brokers: Bofa Merrill Lynch, CCB International, CICC, Goldman Sachs, Morgan Stanley, CMS ICBC, HSBC, Mizuho, China Securities International, BOC International, CMB International, JP Morgan, ABC International Purchased from: Bank of America Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO.