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

  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.

• Kevin Broughton

  IRN KJB01158

  • CF30 Customer (7 Mar 2014 to 6 Mar 2016)
• Kevin Charles Clark

  IRN KCC01016

  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 8 Mar 2002)
  • CF1 Director (1 Dec 2001 to 8 Mar 2002)
• Kevin Murray Cumbers

  IRN KMC01040

  • CF26 Customer Trading (1 Dec 2001 to 16 Feb 2007)
• Kshamta Kaushik

  IRN KXK01181

  • SMF22 Other Local Responsibility (22 Aug 2018 to 8 Jul 2022)
  • [FCA CF] Significant management (1 Mar 2018 to 21 Aug 2018)
  • [FCA CF] Material risk taker (6 Mar 2017 to 21 Aug 2018)
  • [FCA CF] Client dealing (6 Mar 2017 to 21 Aug 2018)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 21 Aug 2018)
  • CF30 Customer (15 Mar 2012 to 6 Mar 2016)
  • CF21 Investment Adviser (17 Nov 2006 to 17 Nov 2006)
  • CF26 Customer Trading (27 Feb 2003 to 17 Nov 2006)
• LAMMERT BERT VEENSTRA

  IRN VXL01102

  • CF30 Customer (28 Jul 2011 to 2 Oct 2012)
• LAURE RENE ELISE SOURDIN

  IRN LRS01041

  • CF30 Customer (24 Nov 2010 to 6 Mar 2016)
• Laetitia Dumbura

  IRN LXD00308

  • SMF5 Head of Internal Audit (since 30 Aug 2023)
• Laurence Matthew Frost

  IRN LMF01028

  • [FCA CF] Significant management (1 Mar 2020 to 31 Oct 2020)
  • [FCA CF] Client dealing (6 Mar 2017 to 31 Oct 2020)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 31 Oct 2020)
  • [FCA CF] Material risk taker (6 Mar 2017 to 31 Oct 2020)
  • CF30 Customer (9 Dec 2013 to 6 Mar 2016)
• Lawrence Jackson Scott

  IRN LJS01039

  • CF21 Investment Adviser (1 Dec 2001 to 27 May 2003)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 27 May 2003)
• Lee Vincent

  IRN LXV01021

  • [FCA CF] Significant management (1 Mar 2020 to 30 Sep 2021)
  • [FCA CF] Client dealing (6 Mar 2017 to 30 Sep 2021)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 30 Sep 2021)
  • [FCA CF] Material risk taker (6 Mar 2017 to 30 Sep 2021)
  • CF30 Customer (14 May 2013 to 6 Mar 2016)

No changes recorded yet.