SBSE-A/A 0001879943 XXXXXXXX true false 519438 Morgan Stanley Europe SE 98-1445426 519438 0001879943 GROSSE GALLUSSTRASSE 18 FRANKFURT 2M 60312 49 69 2166-0 Rebecca Bryans 49 69 2166-2529 Rebecca.Bryans@morganstanley.com Friedrich Prinz von Preussen 49 69 2166-2575 Friedrich.Preussen@morganstanley.com Morgan Stanley Europe SE 519438 Y N N Y BaFIN, Bundesbank, European Central Bank ("ECB") The policies and procedures of Morgan Stanley Europe SE (the Firm) only permit the Firm to rely on substituted compliance in connection with security-based swap activities that satisfy the relevant conditions to substituted compliance listed in paragraph (a) of the Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany (the Order). The Firm has also established and maintained policies and procedures reasonably designed to satisfy the German and European law provisions cited in paragraphs (b), and (d) through (f) of the Order, where applicable, for those provisions of paragraphs (b), and (d) through (f) where the Firm has elected substituted compliance, and any additional relevant conditions on substituted compliance imposed in those paragraphs. Y Swap Dealer N Morgan Stanley Europe SE (MSESE) is a licensed Credit Institution (CRR). Its services include capital raising, Bank activities (funding/lending), financial advisory services, including advice on mergers and acquisitions, restructurings, project finance; sales, trading, financing and market making activities in equity and fixed income securities and related products, including foreign exchange and commodities; and investment activities. MSESE currently operates branches in Spain, The Netherlands, France, Poland, Copenhagen, Sweden and Italy. Y The Federal Reserve Board N N N Y Morgan Stanley Europe SE 519438 Y Y N N N Y 10 Y Morgan Stanley Europe SE 519438 Andre Munkelt CEO / Director 06/2019 01/2006 N 522601 Philipp Lingnau Head of Business Unit Division or Function 06/2019 08/2000 N 522603 Martin Borghetto Head of Business Unit Division or Function 06/2019 07/1995 N 522602 Martin Heinrich Luehrs Head of Business Unit 11/2021 01/2021 N 542937 Markus Konold Head of Business Unit 01/2022 07/2018 N 545250 Friedrich Prinz von Preussen Chief Compliance Officer 01/2024 01/2023 N 560682 Sophia Christina Isabelle Herrmann Head of a Business Unit, Division or Function 09/2024 04/2019 N 565448 Michele Jones CFO 07/2025 09/2012 N 572104 Kate Audrey Mozzicarelli Director 10/2025 01/2008 N 574008 Dorothee Johanna Fuhrmann COO 05/2026 01/2019 N 578314 003142527 Morgan Stanley Europe SE 519438 INITIAL Item 13A Deloitte GmbH Wirtschaftsprufungsgesellschaft Franklinstrasse 50 Frankfurt 2M 60486 02-13-2019 The Firm uses Deloitte as the Auditor. In addition, the applicant makes use of firmwide arrangements whereby group service entities maintain systems infrastructure and corresponding records on behalf of other group operating entities. Item 13B BME Clearing (Banco Mercado de Espana) PLAZA DE LA LEALTAD, 1 Madrid U3 28014 08-06-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B Cassa di Compensazione e Garanzia S.p.A. (CCG VIA TOMACELLI 146 Rome L6 00186 10-09-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B CCP Austria Abwicklungsstelle fur Borsengeschafte GmbH (CCP.A) Strauchgasse 1-3 vienna C4 1010 09-06-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B European Commodity Clearing AUGUSTUSPLATZ 9, Leipzig Saxony 2M 04109 01-21-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B Eurex Clearing AG MERGENTHALERALLEE 61 Eschborn Hesse 2M 65760 11-12-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B European Central Counterparty N.V. APOLLOLAAN 150 Noord-Holland Amsterdam P7 1077BG 09-06-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B ICE Clear Europe Limited (ICE Clear Europe) 60 CHISWELL STREET MILTON GATE London X0 EC1Y 4SA 07-24-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B LCH Ltd (London Clearing House) ALDGATE HOUSE 33 ALDGATE HIGH STREET London X0 EC3N 1EA 03-20-2019 This is a CCP used by the firm that provides clearing and settlement services. Item 13B LCH SA / LCH Clearnet SA / Banque Centrale de Compensation SA 18 RUE DU QUATRE SEPTEMBRE Paris I0 75002 11-19-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B Nasdaq OMX Clearing AB [Sweden + various Nordic] SE-105 78 STOCKHOLM Stockholm V7 SE-105 78 07-09-2018 This is a CCP used by the firm that provides clearing and settlement services. Item 13B SIBE (Cash Equity Market) Pfingstweidstrasse 110 Zurich V8 8005 06-29-2020 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B MEFF Pfingstweidstrasse 110 Zurich V8 8005 06-25-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Boerse Stuttgart Borsenstrasse 4 Stuttgart 2M 70174 06-25-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Nordic Growth Market Borsenstrasse 4 Stuttgart 2M 70174 06-26-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Nordic Derivatives Exchange Borsenstrasse 4 Stuttgart 2M 70174 06-26-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B CBOE (formerly BATS-Chi-X Europe) 400 South LaSalle Street Chicago 2J 60605 09-10-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B CBOE Europe B.V. 401 South LaSalle Street Chicago 2J 60605 02-07-2019 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B CBOE Listed Derivatives 402 South LaSalle Street Chicago 2J 60605 07-29-2021 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Wiener Boerse Wallnerstrasse 8 Wien Vienna C4 1010 06-22-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Deutsche Borse Xetra The Cube Mergenthalerallee 61 Eschborn 2M 65760 05-25-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B EUREX The Cube Mergenthalerallee 61 Eschborn 2M 65760 05-28-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Eurex Repo Eurex Repo GmbH Frankfurt am Main 2M 60485 07-09-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B European Energy Exchange AG (EEX) Augustusplatz 9 Leipzig 2M 04109 06-26-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Euronext - Growth Market Alternext, Access Easynext, Amsterdam (Cash), Paris (Cash), Brussels (Cash), Dublin (Cash), Lisbon (Cash), Oslo (Cash) Beursplein 5 Amsterdam P7 1012 JW 05-30-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Euronext Derivatives Beursplein 5 Amsterdam P7 1012 JW 05-30-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B ICE Endex Hoogoorddreef 7 Australia BL Amsterdam P7 1101 BA 07-27-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Borsa Italiana - Equity MTF Market, IDEM P.za degli Affari 6 Milan L6 20123 06-25-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Nasdaq OMX Nordic Ltd - Copenhagen, Norway, Helsinki, Stockholm Nasdaq Woolgate Exchange 3rd Floor 25 Basinghall Street London X0 EC2V 5HA 07-04-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Norexeco ASA 8 Bouverie St Temple London X0 EC4Y 8AX 02-26-2019 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B Warsaw Stock Exchange ul. Ksiazeca 4 Warsaw R9 00-498 06-12-2018 The Exchange is providing us with the ability to buy and sell instruments listed on their exchange. Item 13B MORGAN STANLEY BANK AG GROSSE GALLUSSTRASSE 18, Frankfur Frankfurt 2M 60312 02-20-2019 Affiliates through which we self settle Morgan Stanley Bank NA Corporation 0445200

201 Main Street, 5th Floor Salt Lake City 2J UT 84111

is involved in effecting The applicant is wholly-owned by Morgan Stanley Bank N.A., (itself a registered Security-based Swap[ Dealer), which is involved in effecting security-based swaps indirectly through its ownership of the applicant. Morgan Stanley Europe SE Morgan Stanley Bank NA 519438 N N N N N N N N N N N N N N N N N N N N N N N N N N Morgan Stanley Europe SE 519438 Firm C T Corporation System 28 Liberty Street New York NY 10005 Anna Hynes Anna Hynes Chief Compliance Officer 04-28-2022 Australian Securities and Investments Commission (ASIC) C3 Financial Services and Markets Authority C9 Ontario Securities Commission (OSC) Z4 Alberta Securities Commission (ASC) Z4 British Columbia Securities Commission (BCSC) Z4 Manitoba Securities Commission (MSC) Z4 New Brunswick Securities Commission (NBSC) Z4 Newfoundland and Labrador (NL) Z4 Nova Scotia Securities Commission (NSSC) Z4 Prince Edward Island (PEI) Z4 Quebec Autorite des marches financiers (AMF) Z4 Saskatchewan Securities Commission (SSC) Z4 Czech National Bank (CNB) 2N Danish Financial Supervisory Authority (DFSA) G7 Estonian Financial Supervision and Resolution Authority (FSA) Z4 Autorite des Marches Financiers (AMF) Z4 The Federal Financial Supervisory Authority (BaFin) 2M The Federal Financial Supervisory Authority (BaFin) / Deutsche Bundesbank 2M Securities and Futures Commission (SFC) K3 Hungarian Financial Arbitration Board (MNB) K5 Commissione Nazionale per le Societa e la Borsa (Consob) L6 Financial and Capital Market Commission (FCMC) 1R Bank of Lithuania (LB) 1Q Authority for the Financial Markets (AFM) P7 Financial Supervisory Authority of Norway (FSA) Q8 Financial Supervision Authority (KNF) R9 Monetary Authority of Singapore (MAS) U0 Financial Supervisory Service (FSS) M5 Comision Nacional del Mercado de Valores (CNMV) U3 Financial Supervisory Authority (FSA) Finansinspektionen V7 Financial Supervisory Commission (FSC) F5 Financial Conduct Authority (FCA) X0 Office of Gas and Electricity Markets (OFGEM) X0 06-08-2026 Morgan Stanley Europe SE Samiul Hoque Samiul Hoque Vice President, Compliance