The Bank of Nova Scotia

• Principal Place of Business

  6th Floor

  201 Bishopsgate

  London

  EC2M 3NS

  UNITED KINGDOM

  Phone

  +442076385644

  Web

  https://www.gbm.scotiabank.com/en/about-overview/our-global-presence/united-kingdom.html

• Complaints Contact

  Scotiabank

  201 Bishopsgate

  London

  City Of London

  EC2M 3NS

  UNITED KINGDOM

  Phone

  +442076385644

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• David Ahmad

  IRN DXA01344

  • SMF2 Chief Finance (7 Mar 2016 to 15 Aug 2019)
  • CF28 Systems and controls (13 Feb 2014 to 6 Mar 2016)
• David Christopher Mason

  IRN DCM01060

  • [FCA CF] Algorithmic trading (1 Mar 2020 to 7 Aug 2020)
  • [FCA CF] Material risk taker (1 Mar 2019 to 7 Aug 2020)
  • [FCA CF] Client dealing (22 Sep 2017 to 7 Aug 2020)
• David Falcon

  IRN DXF01151

  • CF23 Corporate Finance Adviser (25 Mar 2002 to 30 Sep 2002)
• David Frederick Evans

  IRN DFE01003

  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 12 Dec 2003)
• David James Wilkinson

  IRN DJW01194

  • CF30 Customer (1 Nov 2007 to 22 Jan 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David Man Pong Chu

  IRN DMC01162

  • [FCA CF] Client dealing (since 16 Sep 2021)
• David McLean Phillips

  IRN DMP01071

  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2003)
• David Neil Coombes

  IRN DNC01034

  • CF21 Investment Adviser (1 Dec 2001 to 22 Jan 2003)
• David William Holme

  IRN DWH01053

  • CF30 Customer (15 Sep 2008 to 27 Oct 2011)
• David William Morgan

  IRN DWM01055

  • [FCA CF] Client dealing (6 Mar 2017 to 17 Aug 2018)
  • CF30 Customer (29 Jun 2011 to 6 Mar 2016)

No changes recorded yet.