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.

• Rohit Kumar Kapur

  IRN RKK01015

  • CF30 Customer (1 Nov 2007 to 2 Feb 2015)
  • CF21 Investment Adviser (18 Aug 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 May 2005 to 18 Aug 2005)
• Ronald George Bailey

  IRN RGB01061

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Dec 2005)
• Rumi Jahani

  IRN RXJ06220

  • [FCA CF] Client dealing (since 2 Dec 2024)
  • [FCA CF] Material risk taker (since 2 Dec 2024)
• Ryan O'Marra

  IRN RXO01321

  • [FCA CF] Material risk taker (since 1 Aug 2024)
  • [FCA CF] Client dealing (since 1 Aug 2024)
• SAMANTHA CARRIGAN COOK

  IRN SXC42218

  • [FCA CF] Client dealing (since 1 Jan 2024)
  • [FCA CF] Material risk taker (since 1 Jan 2024)
  • [FCA CF] Material risk taker (27 Nov 2019 to 31 Oct 2022)
  • [FCA CF] Client dealing (27 Nov 2019 to 31 Oct 2022)
• SARAH ANNE Weind

  IRN SAW01292

  • SMF5 Head of Internal Audit (18 Sep 2017 to 22 Feb 2022)
• SCOTT JOSEPH Matthews

  IRN SJM01482

  • [FCA CF] Material risk taker (1 Jun 2022 to 10 Jan 2025)
  • SMF2 Chief Finance (7 Mar 2016 to 10 Jan 2025)
  • CF28 Systems and controls (21 Jun 2013 to 6 Mar 2016)
• STEPHANIE Knight

  IRN SXK10532

  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • [FCA CF] Client dealing (since 18 Jan 2019)
• SYLVAIN LAURENT Fritsch

  IRN SLF01043

  • [FCA CF] Material risk taker (since 7 Mar 2019)
  • [FCA CF] Significant management (7 Mar 2019 to 31 May 2022)
  • CF30 Customer (17 Jun 2009 to 6 Jan 2014)
• SYLVAIN REMY ANTOINE Martinez

  IRN SRM01233

  • [FCA CF] Material risk taker (since 1 Jun 2022)
  • SMF4 Chief Risk (since 25 Sep 2018)

No changes recorded yet.