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.

• Michael Peter Waite

  IRN MPW01037

  • CF21 Investment Adviser (1 Dec 2001 to 10 May 2002)
• Michael Wilkins

  IRN MJW01271

  • CF26 Customer Trading (1 Dec 2001 to 11 Sep 2003)
• Miranda Zhao

  IRN MFZ01003

  • CF21 Investment Adviser (2 Oct 2003 to 23 Dec 2003)
• Mohammed Iqbal Khan-Cheema

  IRN IMK01008

  • [FCA CF] Client dealing (6 Mar 2017 to 7 Jun 2017)
  • CF30 Customer (17 Feb 2010 to 6 Mar 2016)
• Monique Baines

  IRN MMH01027

  • [FCA CF] Manager of certification employee (since 1 Nov 2025)
  • [FCA CF] Client dealing (since 3 Sep 2024)
• Nagalakshmi Sumanth

  IRN NXS02235

  • SMF5 Head of Internal Audit (8 Aug 2016 to 29 Aug 2023)
• Neil Ashby

  IRN NXA43045

  • [FCA CF] Client dealing (since 2 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Dec 2021)
  • [FCA CF] Material risk taker (since 7 Dec 2021)
  • [FCA CF] Manager of certification employee (2 Oct 2023 to 9 Jan 2025)
  • [FCA CF] Algorithmic trading (1 Mar 2020 to 7 Dec 2021)
  • [FCA CF] Client dealing (7 May 2019 to 7 Dec 2021)
• Nicholas Antony Hambleton

  IRN NAH01055

  • [FCA CF] Client dealing (14 Apr 2021 to 12 Jul 2024)
• Nicholas Briggs

  IRN NXB01168

  • CF10 Compliance Oversight (18 May 2012 to 20 Dec 2012)
  • CF11 Money Laundering Reporting (18 May 2012 to 20 Dec 2012)
• Nicholas Edward Benjamin Doubtfire

  IRN NED01016

  • [FCA CF] Manager of certification employee (since 30 Aug 2024)
  • [FCA CF] Material risk taker (since 1 Mar 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Mar 2019)
  • [FCA CF] Client dealing (since 6 Mar 2017)
  • [FCA CF] Algorithmic trading (1 Mar 2020 to 1 Mar 2023)
  • [FCA CF] Manager of certification employee (1 Mar 2019 to 11 Nov 2022)
  • CF30 Customer (31 Jul 2009 to 6 Mar 2016)

No changes recorded yet.