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.

• RICHARD PAUL Gurney

  IRN RPG01042

  • [FCA CF] Client dealing (1 Jun 2020 to 8 Feb 2022)
  • CF30 Customer (22 Feb 2010 to 8 Dec 2019)
• RORY WILLIAM HENRY Blundell

  IRN RWB01162

  • [FCA CF] Client dealing (1 Jun 2020 to 17 Mar 2021)
  • CF30 Customer (6 Sep 2017 to 8 Dec 2019)
• ROSALIND JANE SMYTH

  IRN RJS01466

  • SMF7 Group Entity Senior Manager (since 13 Dec 2022)
  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • SMF16 Compliance Oversight (29 Dec 2023 to 5 Jun 2024)
  • CF10 Compliance Oversight (5 Feb 2016 to 8 Dec 2019)
• ROSS LAMBTON Gleghorn

  IRN RLG01070

  • SMF2 Chief Finance (since 30 Jan 2025)
  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • SMF24 Chief Operations (24 Jan 2020 to 26 Feb 2025)
• RYAN STEPHEN Jackson

  IRN RSJ01026

  • [FCA CF] Significant management (since 1 Jun 2024)
  • [FCA CF] Client dealing (since 1 Jun 2020)
  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (13 Nov 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (26 Jul 2005 to 13 Nov 2006)
• Raffaello Avakov

  IRN RXA00185

  • [FCA CF] Client dealing (1 Jun 2020 to 7 Feb 2021)
• Raymond David Powell

  IRN RDP01038

  • CF30 Customer (8 Sep 2014 to 8 Dec 2019)
• Rebecca Shelley Fuller

  IRN RSF01034

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (14 Feb 2018 to 8 Dec 2019)
• Richard James Stewart

  IRN RXS25242

  • SMF7 Group Entity Senior Manager (5 Jun 2020 to 1 Dec 2021)
  • [FCA CF] Material risk taker (1 Jun 2020 to 31 Dec 2021)
• Richard Nikolas Holttum

  IRN RNH01032

  • CF10 Compliance Oversight (13 Dec 2005 to 10 Sep 2007)

No changes recorded yet.