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.

• MARCO MICHAEL Gubitz

  IRN MMG01024

  • [FCA CF] Client dealing (16 Jul 2021 to 21 May 2025)
• MARK CHRISTIAN JAMES Stowe

  IRN MXS17947

  • [FCA CF] Material risk taker (1 Jun 2020 to 24 May 2021)
  • SMF24 Chief Operations (9 Dec 2019 to 24 May 2021)
  • CF29 Significant management (18 Sep 2019 to 8 Dec 2019)
• MARK JOHN Barnard

  IRN MJB01324

  • [FCA CF] Client dealing (since 1 Jun 2020)
  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • CF30 Customer (4 Nov 2019 to 8 Dec 2019)
• MATTHEW LOUIS Raspanti

  IRN MXR25364

  • [FCA CF] Client dealing (1 Jun 2020 to 31 May 2021)
  • [FCA CF] Material risk taker (1 Jun 2020 to 31 May 2021)
  • CF30 Customer (4 Dec 2019 to 8 Dec 2019)
• MICHAEL ADRIAN Keaveny

  IRN MAK01337

  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • SMF18 Other Overall Responsibility (since 24 Jan 2020)
• MICHAEL ALBERT Rechsteiner

  IRN MAR01295

  • [FCA CF] Client dealing (1 Jun 2020 to 2 Jan 2021)
  • CF30 Customer (19 Aug 2013 to 8 Dec 2019)
• MICHAEL DAVID GREEN

  IRN MXG00374

  • [PRA CF] Managing a material risk taker (1 Jun 2024 to 1 May 2025)
  • [FCA CF] Client dealing (16 Mar 2021 to 1 May 2025)
  • [FCA CF] Material risk taker (15 Feb 2021 to 30 Apr 2025)
  • [FCA CF] Significant management (15 Feb 2021 to 1 May 2025)
• MICHAEL JOHN Pacione

  IRN MJP01386

  • [FCA CF] Material risk taker (1 Jun 2020 to 13 Feb 2023)
  • [FCA CF] Client dealing (1 Jun 2020 to 13 Feb 2023)
  • CF30 Customer (24 Jul 2018 to 8 Dec 2019)
• MIGUEL Pasquau Amador

  IRN MXP00378

  • [FCA CF] Client dealing (1 Jun 2020 to 2 Feb 2021)
• MILAN HEMENDRA Shah

  IRN MHS01108

  • [FCA CF] Client dealing (1 Jun 2020 to 15 Jan 2021)
  • CF30 Customer (24 Nov 2017 to 8 Dec 2019)

No changes recorded yet.