# EDGAR Filing Document

**Accession Number:** 0000927971
**File Stem:** 0000927971-26-000001
**Filing Date:** 2026-1
**Character Count:** 7227
**Document Hash:** bdf752271304e4dfd5cc3dd782620bc2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000927971-26-000001.hdr.sgml**: 20260109

**ACCESSION NUMBER**: 0000927971-26-000001

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 4

**FILED AS OF DATE**: 20260105

**DATE AS OF CHANGE**: 20260109

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BANK OF MONTREAL /CAN/
- **CENTRAL INDEX KEY:** 0000927971
- **STANDARD INDUSTRIAL CLASSIFICATION:** COMMERCIAL BANKS, NEC [6029]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 000000000
- **STATE OF INCORPORATION:** A6
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00175
- **FILM NUMBER:** 26523357

**BUSINESS ADDRESS:**
- **STREET 1:** 1 FIRST CANADIAN PLACE
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M5X 1A1
- **BUSINESS PHONE:** 000-000-0000

**MAIL ADDRESS:**
- **STREET 1:** 1 FIRST CANADIAN PLACE
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M5X 1A1

### Attached PDF Documents

**Attachment 1:** `LegalOpinion.pdf`

_No text found in this document._

**Attachment 2:** `Cover.pdf`

_No text found in this document._

**Attachment 3:** `sevenrtxt.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** BANK OF MONTREAL /CAN/

**NFA Number:** 361756

**IRS Employer ID No.:** 00-0000000

**CIK:** 0000927971

**UIC:** NQQ6HPCNCCU6TUTQYE16

**Main Address:** 1 FIRST CANADIAN PLACE, TORONTO, A6, M5X 1A1

**Business Telephone:** 000-000-0000

**Contact Employee:**

- **Name:** Daniel Yukilevich

- **Title:** Chief Compliance Officer

- **Phone:** 312-461-2594

- **Email:** Daniel.Yukilevich@bmo.com

**Chief Compliance Officer:**

- **Name:** Daniel Yukilevich

- **Title:** Chief Compliance Officer

- **Phone:** 312-461-2594

- **Email:** Daniel.Yukilevich@bmo.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

**Description of 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.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** No

**Is control exercised through an agreement?:** No

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 18

### Schedule A: Principals

| Name                      | Title or Status                 | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Craig Wyeth Broderick     | Director                        | 08/2018         | 08/2018              | NA - less than 5% |       516587 |
| Daniel Yukilevich         | Chief Compliance Officer        | 03/2020         | 07/2015              | NA - less than 5% |       529260 |
| David Edwin Harquail      | Director                        | 04/2018         | 04/2018              | NA - less than 5% |       513132 |
| Eric Richer La Fleche     | Director                        | 03/2012         | 03/2012              | NA - less than 5% |       451791 |
| George Alexander Cope     | Director                        | 07/2006         | 07/2006              | NA - less than 5% |       451753 |
| Janice May Babiak         | Director                        | 10/2012         | 10/2012              | NA - less than 5% |       451852 |
| Lorraine Mitchelmore      | Director                        | 03/2015         | 03/2015              | NA - less than 5% |       486719 |
| Madhu Ranganathan         | Director                        | 04/2021         | 04/2021              | NA - less than 5% |       539011 |
| Martin Stewart Eichenbaum | Director                        | 03/2015         | 03/2015              | NA - less than 5% |       486723 |
| Stephen John Dent         | Director                        | 04/2021         | 04/2021              | NA - less than 5% |       539012 |
| Tayfun Tuzun              | Chief Financial Officer         | 01/2021         | 11/2020              | NA - less than 5% |       481233 |
| William Darryl White      | Chief Executive Officer         | 11/2017         | 07/1994              | NA - less than 5% |       482998 |
| Hazel Claxton             | Director                        | 10/2023         | 10/2023              | NA - less than 5% |       558482 |
| Alan Tannenbaum           | Group Head, BMO Capital Markets | 11/2023         | 03/2010              | NA - less than 5% |       561808 |
| Piyush Agrawal            | Chief Risk Officer              | 07/2022         | 06/2022              | NA - less than 5% |       535359 |
| Brian Floyd McManus       | Director                        | 10/2024         | 10/2024              | NA - less than 5% |       567067 |
| Diane Louise Cooper       | Director                        | 10/2024         | 10/2024              | NA - less than 5% |       567068 |
| Tammy Brown               | Director                        | 12/2025         | 12/2025              | NA - less than 5% |       575257 |

### Schedule B: Explanations

**Description:**
Personal and Commercial Banking, Wealth Management, and Capital Markets which includes Investment and Corporate Banking and Global Markets

**Records Keeper:**

- **Name:** Iron Mountain Inc.

  - **Address:** 1 Federal Street, Boston, MA, 02100

  - **Effective Date:** 12-01-2018

  - **Arrangement:** 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.

- **Name:** Global Relay Communications

  - **Address:** 121 W Wacker, 33rd Floor, Chicago, IL, 60601

  - **Effective Date:** 08-26-2015

  - **Arrangement:** Global Relay is a hosted solution BMO uses to archive and surveil e-communications of monitored employees.

- **Name:** IPC Information Systems Canada Inc.

  - **Address:** 40 University Av, Toronto, A6, M5J 1T1

  - **Effective Date:** 03-17-2020

  - **Arrangement:** IPC Information Systems hosts our telephone recording records.

### Execution

**Date:** 01-05-2026

**Name of Applicant:** BANK OF MONTREAL /CAN/

**Signature:** Daniel Yukilevich

**Printed Name:** Daniel Yukilevich

**Title:** Chief Compliance Officer