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.

• Sophie Tunstell

  IRN SXT00561

  • [FCA CF] Client dealing (since 26 May 2023)
• Soraya Amaia Burgess-Haq

  IRN SAH01203

  • CF30 Customer (10 Mar 2011 to 18 Aug 2014)
• Souheil Haddad

  IRN SXH01289

  • CF30 Customer (1 Nov 2007 to 15 Jul 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Stacy Rosen

  IRN SXR01291

  • CF21 Investment Adviser (1 Dec 2001 to 28 Nov 2003)
• Stefan Martin Auerweck

  IRN SMA01105

  • CF30 Customer (11 Apr 2013 to 30 Apr 2013)
• Stephen James Lobb

  IRN SJL01145

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 13 Aug 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 13 Aug 2003)
• Stephen Mark Hasler

  IRN SMH01083

  • CF29 Significant management (13 Jan 2010 to 28 Aug 2015)
  • CF30 Customer (1 Nov 2007 to 28 Aug 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Stephen Wilkinson

  IRN SXW43059

  • [FCA CF] Material risk taker (1 Mar 2019 to 5 Apr 2021)
• Steven Dobson

  IRN SXD43083

  • [FCA CF] Material risk taker (6 Mar 2017 to 22 Apr 2019)
• Steven Michael Lowe

  IRN SML01049

  • SMF22 Other Local Responsibility (7 Mar 2016 to 30 May 2018)
  • CF29 Significant management (1 Nov 2007 to 6 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF16 Significant Mgt (Desgntd Investment Business) (12 Feb 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.