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

  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.

• Rupert Julian Newall

  IRN RJN01031

  • CF1 Director (9 Jul 2014 to 8 Jul 2016)
  • CF30 Customer (16 Jan 2013 to 8 Jul 2016)
• Ruth Elisa Chambers

  IRN REC01105

  • CF30 Customer (21 Oct 2013 to 14 Sep 2015)
• SARAH ANNE Weind

  IRN SAW01292

  • [FCA CF] Material risk taker (1 Jun 2020 to 30 Mar 2022)
  • SMF5 Head of Internal Audit (9 Dec 2019 to 29 Mar 2022)
  • CF28 Systems and controls (5 Oct 2017 to 8 Dec 2019)
• SCOTT JOSEPH Matthews

  IRN SJM01482

  • [FCA CF] Material risk taker (1 Jun 2020 to 10 Jan 2025)
  • SMF2 Chief Finance (9 Dec 2019 to 10 Jan 2025)
  • SMF3 Executive Director (9 Dec 2019 to 10 Jan 2025)
  • CF1 Director (25 Jun 2013 to 8 Dec 2019)
  • CF28 Systems and controls (21 Jun 2013 to 8 Dec 2019)
• STEPHANE MARIE CHRISTIAN REDON

  IRN SXR15040

  • [FCA CF] Significant management (1 Jun 2020 to 11 Jan 2023)
  • [FCA CF] Algorithmic trading (1 Jun 2020 to 11 Jan 2023)
  • [FCA CF] Client dealing (1 Jun 2020 to 11 Jan 2023)
  • [FCA CF] Material risk taker (1 Jun 2020 to 11 Jan 2023)
  • CF30 Customer (16 May 2019 to 8 Dec 2019)
• STEPHANIE Knight

  IRN SXK10532

  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • [FCA CF] Client dealing (since 1 Jun 2020)
  • CF30 Customer (18 Jan 2019 to 8 Dec 2019)
• SYLVAIN LAURENT Fritsch

  IRN SLF01043

  • [FCA CF] Material risk taker (since 1 Jun 2020)
• SYLVAIN REMY ANTOINE Martinez

  IRN SRM01233

  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • SMF4 Chief Risk (since 9 Dec 2019)
  • CF28 Systems and controls (25 Sep 2018 to 8 Dec 2019)
• Samantha Christina Orozco

  IRN SCO01022

  • CF30 Customer (18 May 2011 to 8 Oct 2013)
• Sanam Nourbakhsh

  IRN SXN01656

  • CF30 Customer (18 Nov 2015 to 19 Jul 2018)

No changes recorded yet.