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.

• Saumitra Sawale

  IRN SXS01252

  • [FCA CF] Client dealing (13 Apr 2023 to 6 Sep 2023)
• Scott Lee Fuller

  IRN SXF01283

  • [FCA CF] Client dealing (6 Mar 2017 to 13 Apr 2020)
  • CF30 Customer (29 Jul 2015 to 6 Mar 2016)
• Sean Gerard Breathnach

  IRN SGB01103

  • CF30 Customer (8 Feb 2012 to 23 Jan 2015)
• Sehj Khanna

  IRN SXK00599

  • [FCA CF] Client dealing (since 3 Feb 2023)
• Sergei Chinkis

  IRN SXC01743

  • [FCA CF] Client dealing (15 Jul 2022 to 5 Mar 2023)
  • [FCA CF] Manager of certification employee (15 Jul 2022 to 5 Mar 2023)
  • [FCA CF] Material risk taker (15 Jul 2022 to 5 Mar 2023)
  • [FCA CF] Significant management (15 Jul 2022 to 5 Mar 2023)
• Sergio Herran Sanchez

  IRN SXH00924

  • [FCA CF] Client dealing (30 Jan 2023 to 19 Jul 2024)
• Serkan Sozer

  IRN SXS03037

  • CF30 Customer (29 Oct 2012 to 31 May 2013)
• Shane Aron John Leeks

  IRN SAL01136

  • [FCA CF] Material risk taker (1 Jun 2019 to 26 Aug 2020)
  • [FCA CF] Client dealing (6 Mar 2017 to 26 Aug 2020)
  • CF30 Customer (26 Mar 2014 to 6 Mar 2016)
• Shaun Mathew

  IRN SXM00111

  • [FCA CF] Client dealing (since 19 Aug 2020)
• Silvia Pezzali

  IRN SXP01237

  • CF30 Customer (1 Nov 2007 to 22 Jan 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.