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BMOCMC Commentary Disclosures (50.3 kb, PDF)

 

BMOCMC Fixed Income Commentary Disclosure (194 kb, PDF)

 

BMOLB Systematic Internaliser Commercial Policy (143 kb, PDF)

 

BMOLB Systematic Internaliser Instrument List and MIC Details (171 kb, PDF)

 

BMO CM UK Statement of Commitment to the UK Money Market Code (44 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 (205kb, PDF)

 

FATCA GIINS for BMO Capital Markets Entities (194.0kb, PDF)

 

FINRA Rule 2265 After Hours Trading (17.5kb, PDF)

 

Foreign Exchange Disclaimer (226kb, PDF)

 

Foreign Exchange Terms of Business (324kb, PDF)

 

Statement of Commitment to the FX Global Code (28kb, PDF)

 

Information about the UK Deposit Protection regime
(42.7kb, PDF)

Trade Execution Disclosure (99.8kb, PDF)

 

MiFID II Conflicts of Interest Summary (164kb, PDF)

 

MiFID II Conflicts of Interest Summary BMI (170kb, PDF)

 

MiFID II Order Execution (492kb, PDF)

 

MiFID II Order Execution BMI (515kb, PDF)

 

MiFID II Cost and Charges BMO (278kb, PDF)

 

MiFID II Cost and Charges BMI (253kb, PDF)

 

MiFID II Best Execution Reporting: RTS28

 

MiFID II Best Execution Reporting: RTS27

 

Reporting of Over-the-Counter (OTC) Derivatives Transactions in Canada (83.0kb, 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.

 

 

 

Disclosure of Business Continuity Plan for BMO Capital Markets Corp. (U.S.) (309kb, PDF)

Summary Disclosure Statements for BMO Capital Markets to Clients (Canada/International) (328kb, PDF)


Privacy Code

 

 

BMO Financial Group appreciates the opportunity to help you meet your financial needs. From the day Bank of Montreal was founded in 1817, earning and keeping your trust has been at the very core of our business. We are committed to respecting and protecting your Personal Data. It is important for you to understand what Personal Data we will collect, how we use it and who may see it. See our Capital Markets Online Policy below:

 

A Notice Regarding Confidentiality and Privacy Commitment for BMO Capital Markets (95kb, PDF)

 

BMO Privacy Code - Canada

 

BMO Privacy Code - Europe (246kb, PDF)

 

Privacy Code - US


 

Bank Coverage

 

 

Bank Coverage Regulatory (49.0kb, PDF)

 

U.S. Patriot Act Certificate of Bank of Montreal (95kb, 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 (45kb, DOCX)

 

Wolfsberg: BMO Financial Group Answers (87kb, PDF)

 

AML Questionnaire: BMO (China) Co., Ltd Answers (1.22mb, PDF)

 

Summary of Anti-Money Laundering and Anti-Terrorist Financing Policies at BMO Financial Group (25kb, 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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