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.

• Alasdair Hogarth Mackay

  IRN AHM01043

  • [FCA CF] Client dealing (6 Mar 2017 to 30 Jun 2021)
  • CF30 Customer (27 Aug 2009 to 6 Mar 2016)
• Alastair Hall

  IRN AFH01028

  • [FCA CF] Client dealing (6 Mar 2017 to 5 Nov 2018)
  • CF30 Customer (12 Jun 2013 to 6 Mar 2016)
• Alastair John Lowe

  IRN AXL02125

  • [FCA CF] Material risk taker (6 Mar 2017 to 25 Apr 2020)
  • [FCA CF] Significant management (6 Mar 2017 to 25 Apr 2020)
  • CF30 Customer (9 Dec 2015 to 6 Mar 2016)
  • CF29 Significant management (9 Dec 2015 to 6 Mar 2016)
• Alastair Russell Watson

  IRN AXW01303

  • [FCA CF] Material risk taker (6 Mar 2017 to 30 May 2017)
  • [FCA CF] Client dealing (6 Mar 2017 to 30 May 2017)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 30 May 2017)
  • CF30 Customer (29 Jun 2011 to 6 Mar 2016)
• Albert Cornelius Stoeger

  IRN ACS01168

  • CF30 Customer (13 Feb 2008 to 30 Apr 2008)
• Alberto Procario

  IRN AXP02073

  • [FCA CF] Client dealing (6 Mar 2017 to 27 Mar 2022)
• Aleksandrs Kvasovs

  IRN AXK01575

  • [FCA CF] Client dealing (15 Jul 2022 to 21 Apr 2023)
• Alex Chretien

  IRN AXC43023

  • [FCA CF] Algorithmic trading (1 Mar 2020 to 27 Feb 2021)
  • [FCA CF] Client dealing (20 Apr 2017 to 27 Feb 2021)
• Alex Lee

  IRN AXL59827

  • [FCA CF] Material risk taker (1 Mar 2020 to 14 Mar 2021)
  • [FCA CF] Client dealing (2 Oct 2018 to 14 Mar 2022)
• Alex Linton

  IRN AXL43025

  • [FCA CF] Manager of certification employee (17 Jul 2017 to 1 Dec 2019)
  • [FCA CF] Material risk taker (17 Jul 2017 to 29 Sep 2021)
  • [FCA CF] Significant management (17 Jul 2017 to 29 Sep 2021)

No changes recorded yet.