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.

• Emma Vassallo

  IRN EXV01011

  • CF21 Investment Adviser (4 Jul 2002 to 18 Jun 2004)
• Eric Clifton Tripp

  IRN ECT01004

  • CF1 Director (29 Dec 2009 to 27 Nov 2014)
• Eric Dominique Francois Dubreil

  IRN EDD01007

  • CF29 Significant management (14 Nov 2013 to 6 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (6 Nov 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (6 Dec 2005 to 6 Nov 2006)
• Erwann Valentin Blaise Le Roux

  IRN EVL01004

  • [FCA CF] Client dealing (since 1 Aug 2023)
  • [FCA CF] Material risk taker (since 1 Aug 2023)
• Florian Chapel

  IRN FNC01010

  • [FCA CF] Client dealing (since 11 Jun 2025)
  • [FCA CF] Material risk taker (since 11 Jun 2025)
• GARETH DAVID REYNOLDS

  IRN GXR42211

  • [FCA CF] Material risk taker (since 5 May 2018)
  • [FCA CF] Client dealing (since 5 May 2018)
• GARY ARCHIE Mattan

  IRN GAM01189

  • [FCA CF] Material risk taker (since 1 Jun 2022)
  • SMF22 Other Local Responsibility (since 18 Mar 2021)
• Gapsun Rhee

  IRN GXR00296

  • SMF16 Compliance Oversight (since 1 Jun 2024)
  • [FCA CF] Material risk taker (since 1 Jun 2024)
• Gareth Jon Allott

  IRN GJA01029

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF21 Investment Adviser (23 Oct 2006 to 31 Oct 2007)
• Gary Anthony Olivier

  IRN GAO01005

  • CF28 Systems and controls (1 Nov 2007 to 30 Jun 2013)
  • CF29 Significant management (1 Nov 2007 to 30 Jun 2013)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.