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

  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.

• 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.

• Jaime Rodrigo Diaz Marquez

  IRN JRD01153

  • [FCA CF] Manager of certification employee (since 1 Mar 2019)
  • [FCA CF] Client dealing (since 6 Mar 2017)
  • [FCA CF] Algorithmic trading (1 Mar 2020 to 17 May 2023)
  • CF30 Customer (6 May 2015 to 6 Mar 2016)
• James Alexander Stuart Brooks

  IRN JAB01273

  • [FCA CF] Manager of certification employee (since 16 Jan 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 16 Jan 2025)
  • [FCA CF] Material risk taker (since 16 Jan 2025)
  • [FCA CF] Client dealing (since 16 Jan 2025)
• James Angus Williamson

  IRN JXW01750

  • [FCA CF] Manager of certification employee (since 31 Mar 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 31 Mar 2025)
  • [FCA CF] Material risk taker (since 31 Mar 2025)
  • [FCA CF] Client dealing (since 5 Jun 2023)
• James Dunkley Sixsmith

  IRN JDS01093

  • [FCA CF] Significant management (since 9 Feb 2026)
  • [FCA CF] Material risk taker (since 2 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 2 Oct 2023)
  • [FCA CF] Manager of certification employee (since 31 May 2023)
  • [FCA CF] Client dealing (since 6 Mar 2017)
  • CF30 Customer (24 Aug 2015 to 6 Mar 2016)
• James Franklin Giffen

  IRN JFG01061

  • CF30 Customer (25 Mar 2008 to 1 Dec 2009)
• James Michael Durland

  IRN JMD01164

  • CF1 Director (22 Dec 2009 to 6 Mar 2016)
• James Owen Vorley

  IRN JOV01001

  • CF21 Investment Adviser (1 Dec 2001 to 4 Apr 2007)
• James Poole

  IRN JXP01341

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 29 Aug 2003)
• James Walter

  IRN JXW43077

  • [FCA CF] Significant management (since 1 Mar 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 6 Mar 2017)
  • [FCA CF] Material risk taker (since 6 Mar 2017)
• Jamher Pittman

  IRN JXP01235

  • [FCA CF] Client dealing (since 8 Jan 2026)

No changes recorded yet.