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

  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

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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.

• Matthew William Risden Edwards

  IRN MWE01011

  • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2004)
• Maurice Arthur Barr Plaskett

  IRN MXP00735

  • [FCA CF] Client dealing (since 18 Jul 2023)
  • [FCA CF] Algorithmic trading (18 Jul 2023 to 10 Mar 2026)
• Maurice Joseph Walsh

  IRN MJW01251

  • CF21 Investment Adviser (1 Dec 2001 to 22 Jan 2003)
• Melis Goknel

  IRN MXA00186

  • [FCA CF] Client dealing (since 1 Dec 2020)
• Meryl Elizabeth Blake

  IRN MEJ01029

  • CF30 Customer (17 Jun 2013 to 6 Mar 2016)
• Michael Agridhiotis

  IRN MGA01023

  • [FCA CF] Material risk taker (6 Mar 2017 to 8 Oct 2017)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 8 Oct 2017)
  • [FCA CF] Client dealing (6 Mar 2017 to 8 Oct 2017)
  • CF29 Significant management (24 Feb 2015 to 29 May 2015)
  • CF30 Customer (14 Nov 2013 to 6 Mar 2016)
• Michael Anthony Brian

  IRN MAB01259

  • SMF22 Other Local Responsibility (since 7 Mar 2016)
  • CF29 Significant management (1 Sep 2015 to 6 Mar 2016)
  • CF30 Customer (1 Sep 2015 to 6 Mar 2016)
• Michael Anthony Wren

  IRN MAW01142

  • SMF22 Other Local Responsibility (7 Mar 2016 to 31 Jul 2024)
  • CF40 Benchmark submission (30 May 2013 to 31 May 2013)
  • CF29 Significant management (1 Apr 2011 to 6 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michael Gough

  IRN MJG01285

  • [FCA CF] Manager of certification employee (6 Mar 2017 to 24 Aug 2018)
  • [FCA CF] Client dealing (6 Mar 2017 to 24 Aug 2018)
  • CF30 Customer (5 Oct 2015 to 6 Mar 2016)
• Michael John David Smith

  IRN MXS01367

  • CF21 Investment Adviser (4 Feb 2002 to 7 Feb 2003)

No changes recorded yet.