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.

• Richard Nikolas Holttum

  IRN RNH01032

  • CF10 Compliance Oversight (13 Dec 2005 to 10 Sep 2007)
• Richard Sibthorpe

  IRN RXS01875

  • CF30 Customer (1 Nov 2007 to 22 Aug 2009)
  • CF21 Investment Adviser (22 Jan 2007 to 31 Oct 2007)
• Rick Brown

  IRN RXB01338

  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2003)
  • CF26 Customer Trading (1 Dec 2001 to 30 Apr 2003)
• Robert Andrew Yeung

  IRN RAY01010

  • SMF22 Other Local Responsibility (7 Mar 2016 to 16 Aug 2019)
  • CF29 Significant management (8 Jan 2016 to 6 Mar 2016)
  • CF30 Customer (8 Jan 2016 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
• Robert George Shirley

  IRN RGS01109

  • [FCA CF] Client dealing (7 Mar 2017 to 1 Jun 2019)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (7 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (7 Aug 2006 to 7 Aug 2007)
• Robert Sam Green

  IRN RSG01072

  • SMF24 Chief Operations (17 Jul 2018 to 17 Jun 2019)
  • CF29 Significant management (11 Jul 2013 to 6 Mar 2016)
• Robert Terzoni

  IRN RXT00268

  • [FCA CF] Client dealing (6 Jan 2025 to 3 Oct 2025)
• Robert Walker

  IRN RXW00364

  • [FCA CF] Client dealing (since 20 Feb 2024)
  • [FCA CF] Material risk taker (since 20 Feb 2024)
  • [FCA CF] Client dealing (17 Feb 2022 to 31 Oct 2022)
• Robin Das

  IRN RXD01199

  • CF21 Investment Adviser (26 Oct 2002 to 18 Aug 2003)
  • CF26 Customer Trading (1 Dec 2001 to 18 Aug 2003)
• Roderick Stephen Jones

  IRN RSJ01009

  • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2006)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Mar 2006)

No changes recorded yet.