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.

• Robert Cecil Fig

  IRN RCF01026

  • CF21 Investment Adviser (1 Dec 2001 to 3 May 2002)
• Robert Ernest Manders

  IRN REM01039

  • [FCA CF] Client dealing (since 14 Feb 2018)
• Robert James Shard

  IRN RJS01208

  • CF26 Customer Trading (1 Dec 2001 to 21 Mar 2002)
• Robert Kenneth Newman

  IRN RKN01006

  • CF26 Customer Trading (1 Dec 2001 to 20 May 2004)
• Robert Martin Reeson Price

  IRN RMR01087

  • [FCA CF] Manager of certification employee (since 1 Nov 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2023)
  • [FCA CF] Client dealing (since 1 Nov 2023)
  • [FCA CF] Material risk taker (since 1 Nov 2023)
  • [FCA CF] Algorithmic trading (1 Nov 2023 to 10 Mar 2026)
• Robert Sydney James Davis

  IRN RSD01026

  • [FCA CF] Significant management (1 Mar 2020 to 1 May 2021)
  • [FCA CF] Manager of certification employee (1 Mar 2020 to 1 May 2021)
  • [FCA CF] Client dealing (20 May 2019 to 1 May 2021)
• Robin Magnus O'Donnell

  IRN RMO01029

  • SMF16 Compliance Oversight (10 Aug 2017 to 31 Dec 2021)
• Robyn Lewis Harrington

  IRN RLH01029

  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 30 Sep 2002)
• Rod Michael Reynolds

  IRN RXR01249

  • CF8 Apportionment and Oversight (21 Jul 2004 to 31 Mar 2009)
  • CF3 Chief Executive (21 Jul 2004 to 31 Oct 2009)
• Roger Allan Ellis

  IRN RAE01051

  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 30 Sep 2002)

No changes recorded yet.