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

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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.

• 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

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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.

• Paul Francis Secchia

  IRN PFS01033

  • CF29 Significant management (5 Feb 2009 to 5 May 2015)
  • CF30 Customer (1 Nov 2007 to 5 May 2015)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Paul Frank Wharton

  IRN PFW01024

  • CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2002)
  • CF26 Customer Trading (1 Dec 2001 to 31 Jan 2002)
• Paul James Osment

  IRN PXO01065

  • CF30 Customer (1 Nov 2007 to 21 Jan 2008)
  • CF21 Investment Adviser (28 May 2004 to 31 Oct 2007)
• Paul Michael Ian Boughen

  IRN PMB01104

  • CF21 Investment Adviser (1 Dec 2001 to 17 Feb 2003)
• Peter Adam Kleb

  IRN PAK01098

  • [FCA CF] Client dealing (since 7 Mar 2017)
  • [FCA CF] Material risk taker (1 Nov 2023 to 17 Mar 2026)
  • CF30 Customer (18 May 2011 to 6 Mar 2016)
• Peter Tapio Redelinghuys

  IRN PTR01015

  • CF30 Customer (4 Aug 2011 to 15 Jul 2013)
• Peter Vincent Gormley

  IRN PVG01004

  • CF10 Compliance Oversight (16 Feb 2005 to 16 Sep 2005)
  • CF11 Money Laundering Reporting (16 Feb 2005 to 4 Jul 2005)
• Philip Jason Perrott

  IRN PJP01053

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF21 Investment Adviser (23 Oct 2006 to 31 Oct 2007)
• RICHARD Couzens

  IRN RXC01492

  • SMF19 Head of Overseas Branch/Head of Overseas (since 19 Dec 2025)
  • [FCA CF] Material risk taker (since 1 Jun 2022)
  • SMF22 Other Local Responsibility (since 16 Aug 2019)
  • CF30 Customer (16 Dec 2015 to 6 Mar 2016)
• RICHARD FRANCIS JAMES Tarrant

  IRN RXT01316

  • [PRA CF] Managing a material risk taker (1 Jun 2024 to 1 Aug 2025)
  • [FCA CF] Material risk taker (1 Jun 2022 to 1 Aug 2025)
  • [FCA CF] Client dealing (2 Mar 2018 to 1 Aug 2025)

No changes recorded yet.