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

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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.

• David Roger Durham

  IRN DRD01018

  • CF30 Customer (1 Nov 2007 to 24 Jun 2008)
  • CF21 Investment Adviser (24 Oct 2006 to 31 Oct 2007)
• David Seaman

  IRN DXS01527

  • [FCA CF] Client dealing (22 Mar 2017 to 13 Oct 2022)
• Delany Martin Ade Adom

  IRN DMA01057

  • [FCA CF] Client dealing (7 Mar 2017 to 6 Apr 2023)
  • [FCA CF] Material risk taker (7 Mar 2017 to 6 Apr 2023)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF22 Investment Adviser (Trainee) (26 Sep 2007 to 31 Oct 2007)
• Delphine Clelia Marie Carre

  IRN DCC01056

  • CF30 Customer (1 Nov 2007 to 24 Jun 2008)
  • CF21 Investment Adviser (18 May 2007 to 31 Oct 2007)
• Derek Henry Shewring

  IRN DSS01042

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (3 Sep 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (3 Sep 2007 to 31 Oct 2007)
• ERIC Robinson

  IRN EXR01058

  • [PRA CF] Managing a material risk taker (since 1 Jun 2024)
  • [FCA CF] Material risk taker (since 1 Jun 2022)
  • [FCA CF] Client dealing (since 1 Jun 2022)
• Edward Robert Mizuhara

  IRN ERM01009

  • [FCA CF] Client dealing (since 7 Mar 2017)
  • [FCA CF] Material risk taker (since 7 Mar 2017)
  • [FCA CF] Significant management (7 Mar 2017 to 1 Aug 2024)
  • CF30 Customer (4 Jun 2014 to 6 Mar 2016)
• Eleanor Singer

  IRN EXS01643

  • [FCA CF] Client dealing (since 1 Nov 2024)
• Elif Chapman

  IRN EXC00351

  • [FCA CF] Client dealing (since 25 Mar 2024)
• Elizabeth Clare Connerty

  IRN EXC01089

  • CF21 Investment Adviser (4 Jul 2005 to 9 Feb 2007)

No changes recorded yet.