Bank Coverage Regulatory
U.S. Patriot Act Certificate of Bank of Montreal
Canadian Clearing System Holiday Schedules
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.
Wolfsberg: Bank of Montreal Answers
Summary of Anti-Money Laundering and Anti-Terrorist Financing Policies at BMO Financial Group
BMO Capital Markets Corporation Quarterly 606 Disclosure
Disclosure of Order Routing (SEC Rule 606)
In accordance with SEC Rule 606, BMO Capital Markets Corp. (“BMO CMC”) is required to publish quarterly statistics regarding its customer order routing practices. The purpose of the report is to provide the public with information on how broker-dealers route their customers’ orders, to enable customers (and others) to evaluate order routing practices. The Rule was adopted by the SEC to enhance market transparency and foster competition among market participants. This information is available on the internet at the below link. The report is published by the end of the month following the calendar quarter reported. In addition to quarterly reports, information about the routing of individual customer orders is available to customers, upon request, for the prior six months trading activity.
Pursuant to SEC Rule 606(a), BMO Capital Markets Corp ("BMO CMC") publishes, as applicable, routing statistics for its customers’ non-directed orders in U.S. exchange-listed equity securities (“NMS Securities”) and options which it sends to various market centers for execution. This report provides information regarding the principal routing venues BMO CMC utilizes for non-directed customer orders submitted on a held basis.
All customer inquiries regarding order routing should be directed to:
BMO Capital Markets Corporation
151 W 42nd Street, 9th floor
New York, NY, 10036
Following are the links to quarterly statistics:
Complaints and 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
BME Complaints Handling Summary
Financial Consumer Protection Framework
Customer Complaints Process - Banking products and services
Prohibited Conduct - Banking products and services
BMO Financial Group has an established Whistleblower Process. If you would like further details regarding these procedures, visit BMO Whistleblower Hotline or contact firstname.lastname@example.org.