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

  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.

• Paul Martin McGuigan

  IRN PMM01123

  • [FCA CF] Manager of certification employee (since 1 Mar 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Mar 2019)
  • [FCA CF] Material risk taker (since 1 Mar 2019)
  • [FCA CF] Client dealing (since 6 Mar 2017)
  • CF30 Customer (16 Feb 2016 to 6 Mar 2016)
• Paul Nicholas Godfrey

  IRN PNG01016

  • CF26 Customer Trading (1 Dec 2001 to 30 Sep 2002)
• Paul Scott Franklin

  IRN PSF01020

  • CF16 Significant Mgt (Desgntd Investment Business) (26 Aug 2003 to 7 Jul 2006)
  • CF21 Investment Adviser (26 Aug 2003 to 7 Jul 2006)
• Paul Simpson Whitaker

  IRN PSW01039

  • CF28 Systems and controls (14 Jun 2010 to 26 Jul 2011)
  • CF30 Customer (1 Nov 2007 to 1 Dec 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Paul Stephenson

  IRN PXS01327

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Paul Stuart Bishop

  IRN PSB01054

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Mar 2022)
  • [FCA CF] Material risk taker (since 1 Mar 2022)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2002)
• Paul-Alexander Boot-Handford

  IRN PXB01646

  • CF30 Customer (25 Sep 2008 to 16 Jan 2013)
• Paula Magali Polverelli

  IRN PMP01063

  • CF30 Customer (11 Oct 2013 to 6 Mar 2016)
• Pavinder Kaur Klair

  IRN PKB01044

  • [FCA CF] Client dealing (since 14 Apr 2021)
• Peter Colin Smith

  IRN PCS01039

  • [FCA CF] Material risk taker (1 Mar 2019 to 19 Sep 2020)
  • [FCA CF] Client dealing (6 Mar 2017 to 19 Sep 2020)
  • [FCA CF] Benchmark submission and administration (6 Mar 2017 to 10 Dec 2018)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (1 Dec 2001 to 3 Jan 2007)

No changes recorded yet.