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

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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.

• 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.

• Howard Neal Sarkar

  IRN HNS01006

  • CF26 Customer Trading (1 Dec 2001 to 7 Feb 2002)
• Ian James McCannah

  IRN IJM01034

  • CF21 Investment Adviser (1 Dec 2001 to 18 Jan 2002)
• Ian Michael Taylor

  IRN IMT01022

  • CF21 Investment Adviser (1 Dec 2001 to 26 Jul 2002)
• Ian Penney

  IRN IXP01099

  • [FCA CF] Benchmark submission and administration (6 Mar 2017 to 5 Aug 2018)
  • [FCA CF] Client dealing (6 Mar 2017 to 5 Aug 2018)
• Ian Plowman

  IRN IXP01035

  • [FCA CF] Benchmark submission and administration (6 Mar 2017 to 10 Dec 2018)
  • [FCA CF] Client dealing (6 Mar 2017 to 30 Apr 2021)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 30 Apr 2021)
  • [FCA CF] Material risk taker (6 Mar 2017 to 30 Apr 2021)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Isabelle Christine Garreau

  IRN ICG01019

  • CF30 Customer (31 Mar 2011 to 19 Feb 2016)
• Isabelle Marcelle Raymond Philippe Dennigan

  IRN IMD01036

  • SMF24 Chief Operations (since 10 Nov 2020)
  • [FCA CF] Material risk taker (5 Oct 2020 to 10 Nov 2020)
  • [FCA CF] Significant management (5 Oct 2020 to 10 Nov 2020)
  • [FCA CF] Manager of certification employee (5 Oct 2020 to 10 Nov 2020)
• JOSE ALFREDO GONZALEZ BRICENO

  IRN JAG01269

  • CF30 Customer (13 Jan 2011 to 12 Aug 2011)
• Jack Goodman

  IRN JXG00985

  • [FCA CF] Client dealing (since 5 Dec 2025)
• Jack Greenwood

  IRN JVG29670

  • [FCA CF] Manager of certification employee (8 Oct 2021 to 14 Jul 2023)
  • [FCA CF] Client dealing (22 Jun 2021 to 14 Jul 2023)
  • [FCA CF] Material risk taker (22 Jun 2021 to 14 Jul 2023)

No changes recorded yet.