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

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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.

• 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.

• Jonathan Barry Newman

  IRN JBN01012

  • [FCA CF] Manager of certification employee (since 27 Mar 2024)
  • [FCA CF] Material risk taker (since 1 Nov 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2023)
  • [FCA CF] Client dealing (since 7 Nov 2022)
• Jonathan David Forrest

  IRN JDF31686

  • [PRA CF] Significant risk taker or Material risk taker (since 17 Mar 2025)
  • [FCA CF] Material risk taker (since 17 Mar 2025)
  • [FCA CF] Manager of certification employee (since 4 Nov 2024)
  • [FCA CF] Client dealing (since 21 Mar 2022)
  • [FCA CF] Algorithmic trading (1 Sep 2023 to 9 Mar 2026)
• Jonathan Edward Clive Lloyd

  IRN JXL00452

  • [FCA CF] Client dealing (16 Dec 2021 to 9 Aug 2024)
• Jonathan McCormick

  IRN JXM04284

  • [PRA CF] Significant risk taker or Material risk taker (20 May 2025 to 3 Nov 2025)
  • [FCA CF] Material risk taker (20 May 2025 to 3 Nov 2025)
• Jonathan Michael Stone

  IRN JMS01408

  • CF30 Customer (5 Aug 2015 to 6 Mar 2016)
  • CF29 Significant management (5 Aug 2015 to 6 Mar 2016)
• Jose Ramon Juan Candial

  IRN JRJ01041

  • [FCA CF] Manager of certification employee (6 Mar 2017 to 21 Mar 2019)
  • [FCA CF] Material risk taker (6 Mar 2017 to 21 Mar 2019)
  • [FCA CF] Proprietary trader (6 Mar 2017 to 21 Mar 2019)
  • [FCA CF] Significant management (6 Mar 2017 to 21 Mar 2019)
  • CF29 Significant management (27 Feb 2015 to 6 Mar 2016)
  • CF30 Customer (15 Apr 2010 to 6 Mar 2016)
• Julian Moosuddee

  IRN JIM01034

  • [FCA CF] Client dealing (6 Mar 2017 to 18 Jul 2018)
  • CF30 Customer (22 Aug 2012 to 6 Mar 2016)
• Julian Puddick

  IRN JUP01001

  • [FCA CF] Significant management (22 Apr 2025 to 21 Jan 2026)
  • [FCA CF] Material risk taker (22 Apr 2025 to 21 Jan 2026)
  • [FCA CF] Manager of certification employee (22 Apr 2025 to 21 Jan 2026)
  • [FCA CF] Client dealing (22 Apr 2025 to 21 Jan 2026)
• Julie Frances Cowan

  IRN JFC01060

  • CF21 Investment Adviser (1 Dec 2001 to 17 Jun 2002)
• Justyna Dorota Janas

  IRN JXJ01110

  • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
  • CF21 Investment Adviser (8 Aug 2006 to 31 Oct 2007)

No changes recorded yet.