BMO Capital Markets Limited

• Principal Place of Business

  100 Liverpool Street

  London

  City Of London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +442072361010

  Web

  https://www.bmocm.com

• Complaints Contact

  100 Liverpool Street

  London

  City Of London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +442072361010

• 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), 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), 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.

• Arranges Asset Safekeeping

  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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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), Share, Unit, Warrant

• 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), 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), 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), 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.

• Electronic Trade Settlement

  For Professional, Certificates representing certain security, Debenture, 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), Share, 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.

• JONATHAN STUART GRAHAM Dunn

  IRN JSD01103

  • [PRA CF] Managing a material risk taker (since 1 Jun 2024)
  • [FCA CF] Client dealing (since 1 Jun 2020)
  • [FCA CF] Significant management (since 1 Jun 2020)
  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • CF1 Director (24 Sep 2012 to 12 Sep 2019)
  • CF30 Customer (14 Dec 2009 to 8 Dec 2019)
• JOSEPH CHARLES BRADY

  IRN JXB00836

  • [FCA CF] Client dealing (1 Jul 2020 to 4 Mar 2022)
• JULIAN PETER Kennedy

  IRN JXK22255

  • [FCA CF] Client dealing (1 Jun 2020 to 2 Mar 2021)
  • CF30 Customer (23 Oct 2019 to 8 Dec 2019)
• Jack Maleary

  IRN JXM04040

  • [FCA CF] Material risk taker (25 Apr 2024 to 28 Feb 2026)
  • [FCA CF] Client dealing (25 Apr 2024 to 28 Feb 2026)
• Jack Richard Gabb

  IRN JRG01138

  • CF30 Customer (22 Aug 2011 to 11 Mar 2015)
• Jacob Carignan

  IRN JXC01528

  • [FCA CF] Client dealing (10 Jun 2024 to 23 Dec 2024)
• Jake Simon Barker

  IRN JSB01241

  • CF30 Customer (22 May 2015 to 10 Aug 2017)
• James Anthony Karat

  IRN JAK01082

  • CF30 Customer (1 Nov 2007 to 16 Jun 2009)
  • CF26 Customer Trading (14 Sep 2007 to 31 Oct 2007)
• James Digby Ronald Strauss

  IRN JDS01074

  • CF30 Customer (1 Nov 2007 to 3 Jun 2009)
  • CF21 Investment Adviser (19 Mar 2007 to 31 Oct 2007)
• Jean-Baptiste, Jacques, Marie Krautter

  IRN JJK01070

  • CF30 Customer (6 May 2016 to 31 Jul 2019)

No changes recorded yet.