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

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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.

• Rohan Ziegelaar

  IRN RXZ01006

  • CF21 Investment Adviser (1 Dec 2001 to 3 May 2002)
• Ronald Neil Brandman

  IRN RNB01024

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 3 Dec 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 2 Jan 2003)
• Rory McCarthy

  IRN GPM01042

  • [FCA CF] Client dealing (since 15 Jun 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 15 Jun 2022)
  • [FCA CF] Material risk taker (since 15 Jun 2022)
• Ross William Douglas Glendinning

  IRN RXG00368

  • [FCA CF] Client dealing (12 Sep 2022 to 21 Feb 2024)
• Roy Jack Keirstead

  IRN RJK01047

  • CF30 Customer (1 Nov 2007 to 1 Apr 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Apr 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Apr 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Russell James Gibbons

  IRN RJG01168

  • CF21 Investment Adviser (8 May 2003 to 23 Jan 2004)
• SIMON DAVID FULLER

  IRN SDF01053

  • [FCA CF] Manager of certification employee (since 2 Jun 2025)
  • [FCA CF] Client dealing (since 24 Jan 2022)
• Sachhin Gorasia

  IRN SXS01355

  • [FCA CF] Client dealing (since 10 Mar 2025)
• Sam Shiu

  IRN SXS01367

  • CF21 Investment Adviser (1 Dec 2001 to 22 May 2006)
• Samantha Rose Startek

  IRN SXS00370

  • [FCA CF] Client dealing (5 Feb 2021 to 5 Mar 2022)
  • [FCA CF] Algorithmic trading (5 Feb 2021 to 5 Mar 2022)

No changes recorded yet.