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.

• Simon Anthony Roche

  IRN SAR01075

  • [FCA CF] Manager of certification employee (since 24 Aug 2021)
  • [FCA CF] Client dealing (since 6 Mar 2017)
  • [FCA CF] Material risk taker (since 6 Mar 2017)
  • [PRA CF] Significant risk taker or Material risk taker (since 6 Mar 2017)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 1 Mar 2021)
  • CF30 Customer (20 Dec 2011 to 6 Mar 2016)
• Simon Cooke-Yarborough

  IRN SXC00591

  • [FCA CF] Client dealing (5 Jul 2021 to 14 May 2022)
• Simon Courtenay Last

  IRN SCL01030

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Simon John Morley

  IRN SJM01470

  • CF30 Customer (1 Nov 2007 to 14 May 2013)
  • CF26 Customer Trading (26 Sep 2007 to 31 Oct 2007)
• Simon Mark Fulton Weeks

  IRN SMW01097

  • [FCA CF] Manager of certification employee (6 Mar 2017 to 4 Oct 2019)
  • [FCA CF] Client dealing (6 Mar 2017 to 4 Oct 2019)
  • [FCA CF] Material risk taker (6 Mar 2017 to 4 Oct 2019)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Simon Richard Casson

  IRN SRC01069

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Sofia Skripkina

  IRN SXS05626

  • [FCA CF] Client dealing (since 29 May 2025)
• Sofiane Hajri

  IRN SXH02713

  • [FCA CF] Client dealing (since 7 Oct 2025)
• Sonya Christine Bikhit

  IRN SXB43098

  • SMF22 Other Local Responsibility (since 2 Dec 2024)
  • [FCA CF] Client dealing (since 5 Mar 2021)
  • [FCA CF] Manager of certification employee (5 Mar 2021 to 2 Dec 2024)
  • [FCA CF] Significant management (1 Mar 2020 to 2 Dec 2024)
  • [FCA CF] Material risk taker (1 Mar 2020 to 2 Dec 2024)
• Soo Teng Lee

  IRN STL01021

  • [FCA CF] Client dealing (6 Mar 2017 to 18 Sep 2020)
  • CF30 Customer (28 Jun 2011 to 6 Mar 2016)

No changes recorded yet.