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.

• Marc Andrew Chamberlain

  IRN MAC01233

  • [FCA CF] Material risk taker (since 3 Nov 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 3 Nov 2025)
  • [FCA CF] Manager of certification employee (since 29 Sep 2025)
  • [FCA CF] Client dealing (since 4 Nov 2024)
• Mark Andrew Sedgwick

  IRN MAS01194

  • CF21 Investment Adviser (1 Dec 2001 to 13 May 2002)
• Mark Christian Coakley

  IRN MCC01124

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 1 Mar 2023)
• Mark Elliott Caplan

  IRN MEC01113

  • SMF19 Head of Overseas Branch/Head of Overseas (7 Mar 2016 to 17 Jun 2016)
  • CF3 Chief Executive (22 Jul 2010 to 6 Mar 2016)
• Mark Gillett

  IRN MXG00365

  • [FCA CF] Material risk taker (16 Jul 2021 to 30 May 2025)
• Mark James Hutchison

  IRN MXH00306

  • [FCA CF] Material risk taker (31 Oct 2022 to 2 Dec 2024)
  • [FCA CF] Significant management (11 Jan 2021 to 2 Dec 2024)
• Mark Pearlman

  IRN MSP01039

  • SMF2 Chief Finance (since 12 Nov 2019)
• Mark Phillip Schilling

  IRN MXS01520

  • CF30 Customer (26 Jan 2012 to 14 Feb 2015)
• Mark Richard Walker Lee

  IRN MXL01285

  • [FCA CF] Significant management (6 Mar 2017 to 26 Aug 2019)
  • [FCA CF] Material risk taker (6 Mar 2017 to 26 Aug 2019)
  • CF29 Significant management (5 Aug 2015 to 6 Mar 2016)
  • CF30 Customer (18 Feb 2015 to 6 Mar 2016)
• Martin Ball

  IRN MXB01422

  • CF30 Customer (30 Sep 2010 to 11 Jan 2012)

No changes recorded yet.