Bank of Montreal

• Principal Place of Business

  Bank Of Montreal

  100 Liverpool Street

  London

  City Of London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +442072361010

  Web

  https://www.bmocm.com

• Complaints Contact

  Bank Of Montreal

  100 Liverpool Street

  London

  City Of London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +442072361010

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Javier Hernandez

  IRN JXH02075

  • CF30 Customer (20 Jun 2014 to 6 Mar 2016)
• Jean-Jacques Van Helten

  IRN JXV01100

  • SMF4 Chief Risk (7 Mar 2016 to 25 Sep 2018)
  • CF28 Systems and controls (1 Nov 2007 to 6 Mar 2016)
  • CF14 Risk Assessment (3 Jan 2003 to 31 Oct 2007)
• Jean-Philippe Blais

  IRN JXB02660

  • CF30 Customer (1 Nov 2010 to 24 Sep 2015)
• Jeffrey Boots

  IRN JRB01251

  • CF30 Customer (1 Nov 2007 to 9 Mar 2011)
  • CF21 Investment Adviser (6 Nov 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (6 Jun 2005 to 6 Nov 2006)
• Jeffrey Edmund Couch

  IRN JEC01111

  • SMF22 Other Local Responsibility (9 Apr 2018 to 4 Nov 2019)
• Jennifer Richards

  IRN JXR01222

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 10 Mar 2005)
• Jessica Anne Elizabeth Rothman

  IRN JAR01263

  • [FCA CF] Client dealing (since 21 Aug 2021)
• Ji Hyun Paik

  IRN JXP01731

  • [PRA CF] Managing a material risk taker (since 1 Jun 2024)
  • [FCA CF] Client dealing (since 15 Nov 2023)
  • [FCA CF] Material risk taker (since 15 Nov 2023)
  • [FCA CF] Significant management (15 Nov 2023 to 17 Mar 2026)
• Joanne Sandercock

  IRN JXN01174

  • CF30 Customer (1 Nov 2007 to 27 May 2009)
  • CF21 Investment Adviser (17 Sep 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (28 Apr 2003 to 17 Sep 2003)
• John Richard O'Connell

  IRN JRO01016

  • CF26 Customer Trading (1 Dec 2001 to 31 Jan 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2005)

No changes recorded yet.