0001236835-15-000050.txt : 20150302
0001236835-15-000050.hdr.sgml : 20150302
20150302150203
ACCESSION NUMBER: 0001236835-15-000050
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150302
DATE AS OF CHANGE: 20150302
EFFECTIVENESS DATE: 20150302
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: 15664009
BUSINESS ADDRESS:
STREET 1: 522 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-296-6963
MAIL ADDRESS:
STREET 1: 522 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10036
NSAR-B
1
answer.fil
CHINA A SHARE FUND, INC ANSWER FILE
PAGE 1
000 B000000 12/31/2014
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 SINGAPORE
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
014 B000005 8-00000
014 A000006 BLOCK INTEREST DISCOVERY SERVICE
014 B000006 8-00000
014 A000007 HTI VALORI MOBILIARE S.A.
014 B000007 8-00000
014 A000008 KABU.COM SECURITIES
014 B000008 8-00000
014 A000009 MITSUBISHI UFJ MORGAN STANLEY SECURITIES CO.
014 B000009 8-00000
014 A000010 MITSUBISHI UFJ SECURITIES CO. LTD.
014 B000010 8-00000
014 A000011 MITSUBISHI UFJ SECURITIES HOLDINGS
014 B000011 8-00000
014 A000012 MITSUBISHI UFJ SECURITIES INTERNATIONAL PLC
014 B000012 8-00000
014 A000013 MITSUBISHI UFJ TRUST & BANKING CORP.
014 B000013 8-00000
014 A000014 MITSUBISHI UFJ TRUST INTERNATIONAL
014 B000014 8-00000
014 A000015 MORGAN STANLEY & CO. LLC
014 B000015 8-15869
014 A000016 MORGAN STANLEY & CO. INTERNATIONAL PLC
014 B000016 8-00000
014 A000017 MORGAN STANLEY AUSTRALIA LIMITED
014 B000017 8-00000
014 A000018 MORGAN STANLEY AUSTRALIA SECURITIES LIMITED
014 B000018 8-00000
014 A000019 MORGAN STANLEY ASIA LIMITED
014 B000019 8-00000
014 A000020 MORGAN STANLEY ASIA (SINGAPORE) PTE
014 B000020 8-00000
014 A000021 MORGAN STANLEY ASIA (SINGAPORE) SECURITIES PT
014 B000021 8-00000
014 A000022 MORGAN STANLEY CANADA LIMITED
014 B000022 8-00000
014 A000023 MORGAN STANLEY CAPITAL SERVICES LLC
014 B000023 8-00000
014 A000024 MORGAN STANLEY C.T.V.M. S.A.
014 B000024 8-00000
014 A000025 MORGAN STANLEY DISTRIBUTION, INC.
014 B000025 8-44766
014 A000026 MORGAN STANLEY FUTURES (HONG KONG) LIMITED
014 B000026 8-00000
014 A000027 MORGAN STANLEY HONG KONG SECURITIES LIMITED
PAGE 3
014 B000027 8-00000
014 A000028 MORGAN STANLEY HUAXIN SECURITIES COMPANY LIMI
014 B000028 8-00000
014 A000029 MORGAN STANLEY INDIA COMPANY PRIVATE LTD.
014 B000029 8-00000
014 A000030 MORGAN STANLEY INDIA FINANCIAL SERVICES PRIVA
014 B000030 8-00000
014 A000031 MORGAN STANLEY MENKUL DEGERLER A.S.
014 B000031 8-00000
014 A000032 MORGAN STANLEY MUFG SECURITIES
014 B000032 8-00000
014 A000033 MORGAN STANLEY MUFG SECURITIES CO., LTD.
014 B000033 8-00000
014 A000034 MORGAN STANLEY SECURITIES LIMITED
014 B000034 8-00000
014 A000035 MORGAN STANLEY SMITH BARNEY AUSTRALIA PTY LTD
014 B000035 8-00000
014 A000036 MORGAN STANLEY SMITH BARNEY FINANCING, LLC
014 B000036 8-00000
014 A000037 MORGAN STANLEY SMITH BARNEY LLC
014 B000037 8-68191
014 A000038 MORGAN STANLEY TAIWAN LIMITED
014 B000038 8-00000
014 A000039 MORGAN STANLEY, S.V. S.A.
014 B000039 8-00000
014 A000040 MUNICENTER
014 B000040 8-00000
014 A000041 OLIVETREE SECURITIES LTD.
014 B000041 8-00000
014 A000042 OOO MORGAN STANLEY BANK
014 B000042 8-00000
014 A000043 PRIME DEALER SERVICES CORP.
014 B000043 8-47025
014 A000044 RMB MORGAN STANLEY
014 B000044 8-00000
014 A000045 TOKYO CREDIT SERVICES
014 B000045 8-00000
014 A000046 UNIONBANC INVESTMENT SERVICES
014 B000046 8-30706
014 A000047 UNIONBANCAL CORPORATION
014 B000047 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 90
019 C000000 MSINSTLRET
PAGE 4
020 A000001 CITIC SECURITIES COMPANY LTD
020 B000001 45-2741209
020 C000001 987
020 A000002 UBS AG
020 B000002 13-3203169
020 C000002 229
020 A000003 BEIJING GAO HUA SECURITIES
020 C000003 145
020 A000004 CHINA INTERNATIONAL CAPITAL CORPORATION LTD.
020 B000004 12-3456789
020 C000004 82
020 A000005 SWS GROUP, INC.
020 B000005 75-2040825
020 C000005 64
020 A000006 INSTINET LLC
020 B000006 13-4134098
020 C000006 25
020 A000007 DEUTSCHE BANK AG
020 B000007 13-2944988
020 C000007 9
020 A000008 MERRILL LYNCH
020 B000008 98-0186363
020 C000008 8
020 A000009 CIMB SECURITIES LTD.
020 B000009 52-1971703
020 C000009 5
020 A000010 INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
020 B000010 13-3599877
020 C000010 4
021 000000 1566
022 A000001 STATE STREET BANK & TRUST CO.
022 B000001 04-1867445
022 C000001 79639
022 D000001 79567
022 A000002 CITIC SECURITIES COMPANY LTD
022 B000002 45-2741209
022 C000002 1009
022 D000002 0
023 C000000 80648
023 D000000 79567
024 000000 N
025 D000001 0
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
PAGE 5
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
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
PAGE 6
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
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 N
055 B000000 N
056 000000 Y
057 000000 N
058 A000000 N
059 000000 Y
PAGE 7
060 A000000 Y
060 B000000 N
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
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
PAGE 8
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
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 555328
071 B000000 586111
071 C000000 564210
071 D000000 98
072 A000000 12
072 B000000 32
072 C000000 15906
072 D000000 0
072 E000000 0
072 F000000 8281
072 G000000 442
072 H000000 0
072 I000000 9
072 J000000 907
072 K000000 0
072 L000000 81
072 M000000 13
072 N000000 0
072 O000000 0
072 P000000 0
072 Q000000 0
072 R000000 112
072 S000000 50
072 T000000 0
072 U000000 0
072 V000000 0
072 W000000 58
072 X000000 9953
072 Y000000 3
072 Z000000 5988
072AA000000 115425
072BB000000 0
PAGE 9
072CC010000 124542
072CC020000 0
072DD010000 5739
072DD020000 0
072EE000000 31845
073 A010000 0.2623
073 A020000 0.0000
073 B000000 1.4553
073 C000000 0.0000
074 A000000 21163
074 B000000 0
074 C000000 0
074 D000000 0
074 E000000 0
074 F000000 765525
074 G000000 0
074 H000000 0
074 I000000 123
074 J000000 11064
074 K000000 1
074 L000000 0
074 M000000 23
074 N000000 797899
074 O000000 7898
074 P000000 935
074 Q000000 0
074 R010000 0
074 R020000 0
074 R030000 0
074 R040000 29737
074 S000000 0
074 T000000 759329
074 U010000 21881
074 U020000 0
074 V010000 34.70
074 V020000 0.00
074 W000000 0.0000
074 X000000 13
074 Y000000 0
075 A000000 0
075 B000000 552096
076 000000 30.37
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
PAGE 10
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
078 000000 N
080 A000000 ICI MUTUAL INSURANCE COMPANY
080 C000000 61000
081 A000000 Y
081 B000000 98
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 MANAGER
EX-99.77B ACCT LTTR
2
CEChinaAShareAudit.txt
CHINA A SHARE FUND, INC AUDIT OPINION LETTER
Report of Independent Registered Public Accounting
Firm
To the Stockholders and Board of Directors of
The China A Share Fund, Inc.
In planning and performing our audit of the financial
statements of The China A Share Fund, Inc. (the
"Fund") as of and for the year ended December 31,
2014, 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, 2014.
This report is intended solely for the information and
use of management and the Board of Directors of
The 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
March 2, 2015
EX-99.77O RULE 10F-3
3
77O.ChinaA.txt
CHINA A SHARE FUND, INC RULE 10F-3
Morgan Stanley China A Share Fund, Inc.
Item 77O- Transactions effected pursuant to
Rule 10f-3
Securities Purchased: CGN Power Co. Ltd.
Purchase/Trade Date: 12/3/2014
Offering Price of Shares: HKD 2.780
Total Amount of Offering: 8,825,000,000
Amount Purchased by Fund: 2,174,000
Percentage of Offering Purchased by Fund:
0.025
Percentage of Fund's Total Assets: 0.11
Brokers: China International Capital
Corporation Hong Kong Securities Limited,
Merrill Lynch Far East Limited, ABCI
Securities Company Limited, Morgan Stanley
Asia Limited, CITIC Securities Corporate
Finance (HK) Limited, Goldman Sachs (Asia)
L.L.C., BNP Paribas Securities (Asia) Limited,
ICBC International Securities Limited, BOCI
Asia Limited, The Hongkong and Shanghai
Banking Corporation Limited, Guotai Junan
Securities (Hong Kong) Limited, China
Merchants Securities (HK) Co., Limited, J.P.
Morgan Securities (Asia Pacific) Limited,
Credit Suisse (Hong Kong) Limited, CCB
International Capital Limited
Purchased from: Merrill Lynch
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.