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.

• Lucile Madeleine De Carbonnieres

  IRN LXD01077

  • CF21 Investment Adviser (3 Jul 2002 to 23 Dec 2005)
• Lukas Marthinus Swanepoel

  IRN LMS01064

  • [FCA CF] Material risk taker (7 Mar 2017 to 20 May 2025)
  • [FCA CF] Client dealing (7 Mar 2017 to 20 May 2025)
  • CF30 Customer (19 Aug 2010 to 6 Mar 2016)
• MARK CHRISTIAN JAMES Stowe

  IRN MXS17947

  • SMF24 Chief Operations (11 Nov 2019 to 24 May 2021)
• MARK JOHN Barnard

  IRN MJB01324

  • [PRA CF] Managing a material risk taker (since 25 Apr 2024)
  • [FCA CF] Client dealing (since 4 Nov 2019)
  • [FCA CF] Material risk taker (since 4 Nov 2019)
• MATTHEW LOUIS Raspanti

  IRN MXR25364

  • [FCA CF] Client dealing (19 Nov 2019 to 31 May 2021)
  • [FCA CF] Material risk taker (19 Nov 2019 to 31 May 2021)
• MICHAEL ADRIAN Keaveny

  IRN MAK01337

  • [FCA CF] Material risk taker (since 1 Jun 2022)
  • SMF22 Other Local Responsibility (since 13 Jul 2018)
• MICHAEL DAVID GREEN

  IRN MXG00374

  • [FCA CF] Material risk taker (since 1 May 2025)
• MICHAEL JOHN Pacione

  IRN MJP01386

  • [FCA CF] Client dealing (16 Jul 2018 to 13 Feb 2023)
  • [FCA CF] Material risk taker (16 Jul 2018 to 13 Feb 2023)
• MILTON SYLVESTER McNICHOL

  IRN MXM01439

  • [FCA CF] Client dealing (7 Mar 2017 to 28 Jan 2022)
  • CF30 Customer (18 Apr 2011 to 6 Mar 2016)
• MITAL MEHTA

  IRN MXM42215

  • [FCA CF] Material risk taker (since 26 Mar 2018)

No changes recorded yet.