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.

• Omar Reddam

  IRN OXR43050

  • [FCA CF] Algorithmic trading (1 Mar 2020 to 14 Oct 2020)
  • [FCA CF] Client dealing (30 Oct 2018 to 14 Oct 2020)
• Omotomilola Adu

  IRN OXA01075

  • [FCA CF] Manager of certification employee (4 Jun 2021 to 20 Jun 2022)
  • [FCA CF] Client dealing (7 Mar 2018 to 20 Jun 2022)
• Osman Ul Haq

  IRN OXU00006

  • [FCA CF] Material risk taker (since 2 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 2 Oct 2023)
  • [FCA CF] Client dealing (since 1 Mar 2023)
• Paul Anthony Guider

  IRN PXA00299

  • SMF22 Other Local Responsibility (since 20 Feb 2025)
  • [FCA CF] Client dealing (since 10 Feb 2025)
  • [FCA CF] Significant management (10 Feb 2025 to 20 Feb 2025)
  • [FCA CF] Manager of certification employee (10 Feb 2025 to 20 Feb 2025)
  • [FCA CF] Material risk taker (10 Feb 2025 to 20 Feb 2025)
• Paul Caseiras

  IRN PXC01362

  • [PRA CF] Significant risk taker or Material risk taker (since 6 Mar 2025)
  • [FCA CF] Material risk taker (since 6 Mar 2025)
  • [FCA CF] Client dealing (since 8 Feb 2021)
  • [FCA CF] Manager of certification employee (25 Nov 2022 to 13 Feb 2024)
• Paul Durnin

  IRN PXD01756

  • [FCA CF] Material risk taker (1 Jun 2023 to 9 Feb 2024)
  • [FCA CF] Manager of certification employee (1 Mar 2019 to 29 Sep 2021)
  • [FCA CF] Proprietary trader (6 Mar 2017 to 29 Sep 2021)
  • CF30 Customer (13 Apr 2013 to 6 Mar 2016)
• Paul Frank Harrison

  IRN PFH01044

  • [FCA CF] Client dealing (6 Mar 2017 to 23 Nov 2018)
  • CF30 Customer (24 May 2010 to 6 Mar 2016)
• Paul James Buchan Ritchie

  IRN PJR01133

  • CF30 Customer (11 Mar 2014 to 2 Apr 2014)
• Paul Kenneth Graham

  IRN PKG01007

  • CF21 Investment Adviser (1 Dec 2001 to 13 May 2002)
• Paul Laver

  IRN PWL01024

  • CF26 Customer Trading (1 Dec 2001 to 25 May 2005)

No changes recorded yet.