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.

• John Robert Tubby

  IRN JRT01052

  • CF10 Compliance Oversight (1 Dec 2001 to 9 Feb 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 9 Feb 2005)
• Jonathan Paul Walker

  IRN JXW01006

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2024)
  • [FCA CF] Material risk taker (since 1 Apr 2024)
• Juan Pablo Gonzalez

  IRN JXG00707

  • [FCA CF] Client dealing (since 3 Nov 2023)
• Julia Erica Elisabeth Grafin-Schimmelmann

  IRN JXS01401

  • CF21 Investment Adviser (13 Mar 2007 to 11 Jul 2007)
• Julian Luis Muscatt

  IRN LXM01125

  • [FCA CF] Material risk taker (since 21 Jan 2020)
  • [FCA CF] Client dealing (since 21 Jan 2020)
• KARIN BEATE WALCHSHOFER

  IRN KXW42214

  • [FCA CF] Client dealing (1 Jun 2022 to 5 Apr 2024)
  • [FCA CF] Significant management (1 Jun 2022 to 5 Apr 2024)
  • [FCA CF] Material risk taker (7 Mar 2017 to 31 May 2022)
• Kashaan Kamal

  IRN KXK02053

  • [FCA CF] Material risk taker (since 1 Nov 2023)
  • [FCA CF] Client dealing (since 13 Nov 2019)
• Kathryn Cenac

  IRN KXC00455

  • SMF24 Chief Operations (since 26 Feb 2025)
  • [FCA CF] Material risk taker (since 26 Feb 2025)
• Katsuko Ishizeki-Chaudhari

  IRN KXI00025

  • SMF16 Compliance Oversight (26 Aug 2022 to 15 Dec 2023)
  • [FCA CF] Material risk taker (1 Jun 2022 to 15 Dec 2023)
• Kevin John Eldridge

  IRN KJE01012

  • CF30 Customer (22 May 2009 to 3 May 2011)

No changes recorded yet.