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.

• Amandine Triadu

  IRN AXT01748

  • [FCA CF] Manager of certification employee (since 15 Nov 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 15 Nov 2022)
  • [FCA CF] Material risk taker (since 15 Nov 2022)
  • [FCA CF] Client dealing (since 15 Nov 2022)
  • [FCA CF] Algorithmic trading (15 Nov 2022 to 5 Mar 2026)
• Ambarish Bardhan Ray

  IRN AXB02548

  • CF30 Customer (22 Feb 2010 to 31 Oct 2011)
• Amy Ma

  IRN AXM01366

  • [FCA CF] Material risk taker (since 22 Nov 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 22 Nov 2022)
• Andrew Bruce Bardon

  IRN ABB01067

  • CF30 Customer (6 Apr 2010 to 8 Apr 2013)
• Andrew David Green

  IRN ADG01061

  • [PRA CF] Significant risk taker or Material risk taker (since 23 Nov 2022)
  • [FCA CF] Material risk taker (since 23 Nov 2022)
• Andrew John Bryant

  IRN AJB01450

  • CF21 Investment Adviser (26 Jul 2002 to 7 Mar 2003)
• Andrew John McClelland

  IRN AJM01295

  • CF21 Investment Adviser (1 Dec 2001 to 25 Jul 2003)
• Andrew Mitchell

  IRN AJM01323

  • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
  • CF21 Investment Adviser (22 May 2006 to 31 Oct 2007)
• Andrew Newton Palmer

  IRN ANP01028

  • CF30 Customer (1 Nov 2007 to 31 Jan 2009)
  • CF21 Investment Adviser (15 Feb 2006 to 31 Oct 2007)
• Andrew Paul Revill

  IRN APR01058

  • CF29 Significant management (12 Oct 2012 to 14 Mar 2014)
  • CF3 Chief Executive (11 Nov 2009 to 2 Aug 2010)
  • CF28 Systems and controls (1 Nov 2007 to 14 Mar 2014)
  • CF14 Risk Assessment (2 Jun 2005 to 31 Oct 2007)

No changes recorded yet.