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.

• Stuart Andrew Bloomfield

  IRN SAB01147

  • [FCA CF] Significant management (1 Jun 2021 to 16 Feb 2024)
  • [FCA CF] Material risk taker (1 Jun 2021 to 16 Feb 2024)
  • [FCA CF] Manager of certification employee (1 Mar 2021 to 16 Feb 2024)
  • [FCA CF] Client dealing (6 Mar 2017 to 16 Feb 2024)
  • CF30 Customer (1 Nov 2012 to 6 Mar 2016)
• Stuart Johnston Spence

  IRN SJS01183

  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 17 Dec 2004)
• Stuart MCDOWELL

  IRN SXM04628

  • [FCA CF] Significant management (since 7 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Jul 2025)
  • [FCA CF] Material risk taker (since 7 Jul 2025)
• Sukhjit Singh Sagoo

  IRN SSS01079

  • [FCA CF] Material risk taker (23 Nov 2022 to 15 Aug 2025)
  • [FCA CF] Manager of certification employee (1 Mar 2019 to 15 Aug 2025)
  • [FCA CF] Client dealing (6 Mar 2017 to 15 Aug 2025)
  • CF30 Customer (4 Jun 2010 to 6 Mar 2016)
• Sunay Yildiz

  IRN SXY01043

  • CF29 Significant management (25 Feb 2010 to 14 Aug 2014)
  • CF30 Customer (26 Aug 2009 to 6 Mar 2016)
• Sylvia Sau Fan Cheung

  IRN SSC01047

  • CF30 Customer (1 Nov 2007 to 25 Feb 2008)
  • CF26 Customer Trading (6 Jun 2007 to 31 Oct 2007)
• Sze Chai Luk

  IRN SCL01076

  • CF30 Customer (12 Oct 2012 to 15 Jan 2016)
• Tanjeet Nandha

  IRN TXA01473

  • [FCA CF] Client dealing (since 8 Mar 2023)
  • [FCA CF] Manager of certification employee (since 8 Mar 2023)
  • [FCA CF] Algorithmic trading (3 Jul 2023 to 10 Mar 2026)
• Terry Kenneth Fryett

  IRN TKF01001

  • CF8 Apportionment and Oversight (1 Dec 2001 to 7 Jul 2004)
  • CF3 Chief Executive (1 Dec 2001 to 7 Jul 2004)
• Thomas James Hartland-Bryant

  IRN TXH87680

  • [FCA CF] Client dealing (7 Jul 2020 to 8 Aug 2021)
  • [FCA CF] Algorithmic trading (7 Jul 2020 to 8 Aug 2021)

No changes recorded yet.