BMOCMC Commentary Disclosures (50.3 kb, PDF)
BMOCMC Fixed Income Commentary Disclosure (194 kb, PDF)
Conflicts of Interest Statement (284kb, PDF)
Customer Identification Program Notice (43.5kb, PDF)
Customer Notice Pursuant to the USA Patriot Act (88kb, PDF)
U.S. Patriot Act Certificate of Bank of Montreal (97.2kb, PDF)
USA PATRIOT Act Section 311 Notice (78kb, PDF)
FATCA GIINS for BMO Capital Markets Entities (194.0kb, PDF)
FINRA Rule 2265 After Hours Trading (17.5kb, PDF)
Foreign Exchange Disclaimer (253kb, PDF)
Foreign Exchange Terms of Business (324kb, PDF)
FSA Required Order Execution Information (249kb, PDF)
- The Bank of Montreal, London Branch BMO Capital Markets Limited: Order of Execution Policy (25kb, PDF)
- The Bank of Montreal, London Branch BMO Capital Markets Limited (109kb, PDF)
Information about the UK Deposit Protection regime
Listed Equity Trade Execution Disclosure (99.8kb, PDF)
SEC Required Order Execution Information (45.0kb, PDF)
Trade Matching Statement (134.0kb, PDF)
T+2 Settlement Changes (241.0kb, PDF)
Disclosure of Business Continuity Plan for BMO Capital Markets
Current Emergency Communications Status: We are operating business as usual.
This is the Emergency Communication website of BMO Capital Markets Corp. (U.S.)
We will use this site to inform you of any significant business interruption.
Bank Coverage Regulatory (49.0kb, PDF)
U.S. Patriot Act Certificate of Bank of Montreal (88kb, PDF)
Canadian Clearing System Holiday Schedules (49.0kb, PDF)
For more information, visit the CPA website
Anti-Money Laundering & Anti-Terrorist Financing
Financial Institutions and regulatory bodies around the world are increasingly focused on combating money laundering and fighting financial crime. Certain information on a financial institution is often required to support maintaining an account. The following documents are of assistance to banks in completing their client bank due diligence on BMO.
AML Questionnaire: BMO Financial Group Answers (195kb, PDF)
AML Questionnaire: BMO Financial Group Template (61.7kb, PDF)
Wolfsberg: BMO Financial Group Answers (145kb, PDF)
AML Questionnaire: BMO (China) Co., Ltd Answers (1.22mb, PDF)
Complaints & Inquiries
BMO Capital Markets is committed to ensuring strategies and transactions are executed efficiently and accurately, with prompt reporting. At any time, you have the right to contact BMO Capital Markets staff or head office on any matter relating to your business relationship with us. Any inquiry or complaint from clients will be responded to in a timely manner. Please don't hesitate to Contact Us.
UK Complaints Handling Summary (121kb, PDF)
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