Amendment: SEC Form SBSE-A/A filed by NO Name
SBSE-A/A: Filer Information
| Filer CIK | 0000927971 |
| Filer CCC |
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| Is this a LIVE or TEST Filing? |  LIVE
TEST
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Submission Contact Information | |
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SBSE-A/A: Applicant Data - Page 1
FORM SBSE-A
Application for Registration as a Security-based Date: Applicant NFA Number: 361756 |
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INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:
| A. Full name of the applicant | BANK OF MONTREAL /CAN/ |
| B. IRS Empl. Ident. No.: | 00-0000000 |
| C. Applicant's NFA ID #: | 361756 |
Applicant's CIK #: | 0000927971 |
Applicant’s UIC # (if any): | NQQ6HPCNCCU6TUTQYE16 |
| D. Applicant's Main Address: (Do not use a P.O. Box) | |
Street Address 1: | 1 FIRST CANADIAN PLACE |
Street Address 2: | |
City: | TORONTO |
State/Province/Country: |
ONTARIO, CANADA
|
Zip/ Postal Code: | M5X 1A1 |
| E. Mailing Address, if different: | |
Street Address 1: | |
Street Address 2: | |
City: | |
State/Province/Country: | |
Zip/ Postal Code: | |
| F. Business Telephone Number: | 000-000-0000 |
| G. Website/URL: | www.bmo.com |
| H. Contact Employee: | |
Prefix: | |
First Name: | Daniel |
Middle Name: | |
Last Name: | Yukilevich |
Suffix: | |
Title: | Chief Compliance Officer |
Phone: | 312-461-2594 |
Email Address: | |
| I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k): | |
Prefix: | |
First Name: | Daniel |
Middle Name: | |
Last Name: | Yukilevich |
Suffix: | |
Title: | Chief Compliance Officer |
Phone: | 312-461-2594 |
Email Address: |
SBSE-A/A: EXECUTION
EXECUTION:
The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.
| Date | 05-09-2025 |
| Name of Applicant | BANK OF MONTREAL /CAN/ |
| By: Signature | Daniel Yukilevich |
| Name of Person Signing on Applicant's behalf | Daniel Yukilevich |
| Title of Person Signing on Applicant's behalf | Chief Compliance Officer |
SBSE-A/A: Applicant Data - Page 2
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF MONTREAL /CAN/
Date:
Applicant NFA No.:
361756
2.
| A. The applicant is registering as a security-based swap dealer: |  Yes
No
|
| B. The applicant is registering as a major security-based swap participant: | Yes
No
|
3.
| A. Is the applicant a foreign security-based swap dealer that intends to: | |
| Yes
No
|
| Yes
No
|
| with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder? | |
| B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination: | Office of the Superintendent of Financial Institutions |
4.
| Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? | Yes
No
|
5.
| A. The applicant is currently registered with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| B. The applicant is registering with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
6.
| Is the applicant a U.S. branch of a non-resident entity? | Yes
No
|
7.
| Briefly describe the applicant's business: | Bank of Montreal is a chartered bank under the Canadian Bank Act and is a public company incorporated in Canada. We are a highly diversified financial services company, providing a broad range of personal and commercial banking, wealth management and investment banking products and services. The bank's head office is at 129 rue Saint-Jacques, Montreal, Quebec. Our executive offices are at 100 King Street West, 1 First Canadian Place, Toronto, Ontario. Our common shares are listed on the Toronto Stock Exchange and the New York Stock Exchange. |
8.
| Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. | Yes
No
|
If "yes," identify the prudential regulator: | The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency
|
9.
| Is the applicant registered with the Commission as an investment adviser? | Yes
No
|
10.
| A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? | Yes
No
|
11.
| Does applicant engage in any other non-securities, financial services industry-related business? | Yes
No
|
If "yes," describe each other business briefly on Schedule B, Section I.
12.
| Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? | Yes
No
|
SBSE-A/A: Applicant Data - Page 3
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF MONTREAL /CAN/
Date:
Applicant NFA No.:
361756
13.
| Does the applicant have any arrangement: | |
| A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? | Yes
No
|
| B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? | Yes
No
|
If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.
14.
| Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
15.
| Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
16.
| Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? | Yes
No
|
If "yes," complete appropriate items on Schedule B, Section Ill.
17.
| Is the applicant registered with a foreign financial regulatory authority? | Yes
No
|
If "yes," list all such registrations on Schedule F, Page 1, Section II.
18.
| The applicant has ___ principals who are individuals. | 17 |
Please list all principals who are individuals on Schedule A.
19.
| Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section IV.
SBSE-A/A: Schedule A of FORM SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF MONTREAL /CAN/
Date:
Applicant NFA No.:
361756
PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)
Use Schedule A to identify all principals of the applicant who are individuals.
Complete the "Title or Status" column by entering board/management titles;
status as partner, trustee, sole proprietor, or shareholder; and for shareholders,
the class of securities owned (if more than one is issued).
Ownership Codes are:
NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Broderick |
| Individuals: First Name | Craig |
| Individuals: Middle Name | Wyeth |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 08/2018 |
| Date Individual began working for applicant (MM/YYYY) | 08/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 516587 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Yukilevich |
| Individuals: First Name | Daniel |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Compliance Officer |
| Date Title or Status Acquired(MM/YYYY) | 03/2020 |
| Date Individual began working for applicant (MM/YYYY) | 07/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 529260 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Harquail |
| Individuals: First Name | David |
| Individuals: Middle Name | Edwin |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 04/2018 |
| Date Individual began working for applicant (MM/YYYY) | 04/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 513132 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Richer La Fleche |
| Individuals: First Name | Eric |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2012 |
| Date Individual began working for applicant (MM/YYYY) | 03/2012 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 451791 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Cope |
| Individuals: First Name | George |
| Individuals: Middle Name | Alexander |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 07/2006 |
| Date Individual began working for applicant (MM/YYYY) | 07/2006 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 451753 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Babiak |
| Individuals: First Name | Janice |
| Individuals: Middle Name | May |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 10/2012 |
| Date Individual began working for applicant (MM/YYYY) | 10/2012 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 451852 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Mitchelmore |
| Individuals: First Name | Lorraine |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2015 |
| Date Individual began working for applicant (MM/YYYY) | 03/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 486719 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Ranganathan |
| Individuals: First Name | Madhu |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 04/2021 |
| Date Individual began working for applicant (MM/YYYY) | 04/2021 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 539011 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Eichenbaum |
| Individuals: First Name | Martin |
| Individuals: Middle Name | Stewart |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2015 |
| Date Individual began working for applicant (MM/YYYY) | 03/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 486723 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Dent |
| Individuals: First Name | Stephen |
| Individuals: Middle Name | John |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 04/2021 |
| Date Individual began working for applicant (MM/YYYY) | 04/2021 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 539012 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Tuzun |
| Individuals: First Name | Tayfun |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Financial Officer |
| Date Title or Status Acquired(MM/YYYY) | 01/2021 |
| Date Individual began working for applicant (MM/YYYY) | 11/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 481233 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | White |
| Individuals: First Name | William |
| Individuals: Middle Name | Darryl |
| Suffix | |
| Title or Status | Chief Executive Officer |
| Date Title or Status Acquired(MM/YYYY) | 11/2017 |
| Date Individual began working for applicant (MM/YYYY) | 07/1994 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 482998 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Claxton |
| Individuals: First Name | Hazel |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 10/2023 |
| Date Individual began working for applicant (MM/YYYY) | 10/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 558482 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Tannenbaum |
| Individuals: First Name | Alan |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Group Head, BMO Capital Markets |
| Date Title or Status Acquired(MM/YYYY) | 11/2023 |
| Date Individual began working for applicant (MM/YYYY) | 03/2010 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 561808 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Agrawal |
| Individuals: First Name | Piyush |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Risk Officer |
| Date Title or Status Acquired(MM/YYYY) | 07/2022 |
| Date Individual began working for applicant (MM/YYYY) | 06/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 535359 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | McManus |
| Individuals: First Name | Brian |
| Individuals: Middle Name | Floyd |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 10/2024 |
| Date Individual began working for applicant (MM/YYYY) | 10/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 567067 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Cooper |
| Individuals: First Name | Diane |
| Individuals: Middle Name | Louise |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 10/2024 |
| Date Individual began working for applicant (MM/YYYY) | 10/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 567068 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
SBSE-A/A: Schedule B of FORM SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF MONTREAL /CAN/
Date:
Applicant NFA No.:
361756
Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.
| This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: | Initial
Amended
|
Section I
Other Business
Item 11: Does applicant engage in any other non-securities, financial services industry-related business?
| UIC (if any), or other Unique Identification Number(s): | |
| Assigning Regulator(s)/Entity(s): | Canada Deposit Insurance Corporation (CDIC), Federal Reserve Bank (FRB), Financial Consumer Agency of Canada (FCAC), OCC, OSFI, |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | Personal and Commercial Banking, Wealth Management, and Capital Markets which includes Investment and Corporate Banking and Global Markets |
Section II
Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Iron Mountain Inc. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Federal Street |
Street Address 2 | |
City | Boston |
State/Country |
MASSACHUSETTS
|
Zip + 4 Postal Code | 02100 |
| Effective Date MM DD YYYY | 12-01-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Master Services Agreement (MSA) with Iron Mountain that governs services with the bank's preferred supplier across Canada and the United States for off-site records storage, records destruction, secure shredding, document imaging and other services related to our records. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Global Relay Communications |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 121 W Wacker |
Street Address 2 | 33rd Floor |
City | Chicago |
State/Country |
ILLINOIS
|
Zip + 4 Postal Code | 60601 |
| Effective Date MM DD YYYY | 08-26-2015 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Global Relay is a hosted solution BMO uses to archive and surveil e-communications of monitored employees. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | IPC Information Systems Canada Inc. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 40 University Av |
Street Address 2 | |
City | Toronto |
State/Country |
ONTARIO, CANADA
|
Zip + 4 Postal Code | M5J 1T1 |
| Effective Date MM DD YYYY | 03-17-2020 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | IPC Information Systems hosts our telephone recording records. |
SBSE-A/A: SCHEDULE F of Form SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF MONTREAL /CAN/
Date:
Applicant NFA No.:
361756
Section I
Service of Process and Certification Regarding Access to Records
Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify
its United States agent for service of process and the certify that it can as a matter of law, and will -
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
1. Service of Process:
A. Name of United States person applicant designates and appoints as agent for service of process
| Prefix | |
| First Name | Daniel |
| Middle Name | |
| Last Name | Yukilevich |
| Suffix |
B. Address of United States person applicant designates and appoints as agent for service of process
| Street Address 1 | 320 South Canal Street |
| Street Address 2 | |
| City | Chicago |
| State |
ILLINOIS
|
| Zip/Postal Code | 60606 |
The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the
applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as
defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of
any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and
agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that
service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that
service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal
service thereof had been made.
2. Certification regarding access to records:
Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with
paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR
240. 15Fb2-4].
| Signature: | Please refer to the amended Officer Certificate attached and labeled OfficerCertificate_BMO |
| Name: | NA |
| Title: | NA |
| Date: | 11-01-2021 |
Section II
Registration with Foreign Financial Regulatory Authorities
Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:
| English Name of Foreign Financial Regulatory Authority | Office of the Superintendent of Financial Institutions (OSFI)-FRFI |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CANADA (FEDERAL LEVEL)
|
If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.