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.

• MOSES OLUWAWOLE AKANJI

  IRN MXA42200

  • [FCA CF] Client dealing (since 1 Sep 2016)
  • [FCA CF] Material risk taker (since 1 Sep 2016)
• Malcolm Brown

  IRN MXB02147

  • CF30 Customer (1 Nov 2007 to 29 Mar 2011)
  • CF21 Investment Adviser (19 Apr 2005 to 31 Oct 2007)
• Malek Ben Jemia

  IRN MXB03621

  • [FCA CF] Client dealing (since 11 Feb 2025)
• Marc John Garrity

  IRN MXG00488

  • [FCA CF] Client dealing (since 7 Jun 2022)
  • [FCA CF] Material risk taker (since 7 Jun 2022)
• Marc Jon Evans

  IRN MJE01074

  • [FCA CF] Client dealing (27 Nov 2023 to 14 Jun 2024)
  • [FCA CF] Material risk taker (27 Nov 2023 to 14 Jun 2024)
• Mark Christopher Worton

  IRN MXW00492

  • [FCA CF] Material risk taker (since 1 Jun 2022)
  • SMF5 Head of Internal Audit (since 22 Feb 2022)
• Mark Douglas Pratt

  IRN MDP01144

  • SMF7 Group Entity Senior Manager (4 Apr 2018 to 31 Oct 2019)
• Mark O'Sullivan

  IRN MXO01666

  • SMF5 Head of Internal Audit (7 Mar 2016 to 12 Oct 2017)
  • CF28 Systems and controls (3 Mar 2016 to 6 Mar 2016)
• Mark Stanley Ferns Youds

  IRN MSY01008

  • CF26 Customer Trading (17 May 2002 to 24 Oct 2002)
• Martin Francis John Smith

  IRN MFS01030

  • CF30 Customer (1 Nov 2007 to 21 Jan 2009)
  • CF26 Customer Trading (2 Jan 2007 to 31 Oct 2007)

No changes recorded yet.