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

  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.

• 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.

• Richard Andrew Davison

  IRN RAD01060

  • CF21 Investment Adviser (9 Apr 2002 to 30 Sep 2002)
• Richard Benjamin Burchnall

  IRN RBB01021

  • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
  • CF21 Investment Adviser (8 Jun 2006 to 31 Oct 2007)
• Richard Charles Edwards

  IRN RCE01022

  • [FCA CF] Client dealing (6 Mar 2017 to 14 Aug 2018)
  • CF30 Customer (10 Feb 2012 to 6 Mar 2016)
• Richard David Walker

  IRN RXW00512

  • [FCA CF] Client dealing (since 5 Sep 2023)
• Richard Frank Gillingham

  IRN RFG01008

  • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)
• Richard Ian Charles Hitchcox

  IRN RIH01028

  • CF30 Customer (16 Apr 2014 to 30 Oct 2014)
• Richard Noel Gommo

  IRN RNG01012

  • CF21 Investment Adviser (1 Dec 2001 to 14 May 2002)
• Richard Smither

  IRN RDS01113

  • CF30 Customer (9 Jan 2012 to 2 Apr 2015)
• Rikki Jones

  IRN RXJ00218

  • [FCA CF] Client dealing (26 Sep 2022 to 8 Sep 2024)
  • [FCA CF] Algorithmic trading (26 Sep 2022 to 8 Sep 2024)
• Robert Anthony Cawley

  IRN RAC01114

  • [FCA CF] Algorithmic trading (1 Mar 2020 to 30 Sep 2022)
  • [FCA CF] Client dealing (6 Mar 2017 to 30 Sep 2022)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 30 Sep 2022)
  • [FCA CF] Material risk taker (6 Mar 2017 to 30 Sep 2022)
  • CF30 Customer (7 Jun 2010 to 6 Mar 2016)

No changes recorded yet.