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.

• Wade Brennan

  IRN WXB01289

  • CF30 Customer (4 Mar 2015 to 6 Mar 2016)
• Webster Coutinho

  IRN WXC43074

  • [FCA CF] Client dealing (since 8 Jul 2019)
• William Finian Paul Swords

  IRN WFS01012

  • CF29 Significant management (19 Sep 2012 to 30 Sep 2015)
• William Javier Zuluaga

  IRN WJZ00004

  • SMF4 Chief Risk (7 Mar 2016 to 2 Dec 2016)
  • CF28 Systems and controls (13 Feb 2014 to 6 Mar 2016)
• William John Frost

  IRN WJF01028

  • [FCA CF] Algorithmic trading (since 1 Mar 2020)
  • [FCA CF] Manager of certification employee (since 1 Mar 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 6 Mar 2017)
  • [FCA CF] Client dealing (since 6 Mar 2017)
  • [FCA CF] Material risk taker (since 6 Mar 2017)
  • CF30 Customer (1 May 2013 to 6 Mar 2016)
• William Richard Thomas

  IRN WRT01021

  • [FCA CF] Client dealing (6 Mar 2017 to 24 May 2019)
  • CF30 Customer (18 Jan 2016 to 6 Mar 2016)
• Yao Zhou

  IRN YXZ01028

  • [FCA CF] Manager of certification employee (11 Jul 2022 to 11 Feb 2024)
  • [FCA CF] Proprietary trader (6 Mar 2017 to 11 Feb 2024)
  • CF30 Customer (28 Jul 2009 to 6 Mar 2016)
• Yisi Luo

  IRN YXL00068

  • [FCA CF] Client dealing (12 Sep 2022 to 8 Mar 2023)
• Yvonne Marie Dodson

  IRN YMD01002

  • [FCA CF] Client dealing (6 Mar 2017 to 7 Jul 2021)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Zachary Stone

  IRN ZXS01115

  • [FCA CF] Manager of certification employee (1 Dec 2020 to 26 Jan 2024)
  • [FCA CF] Client dealing (6 Mar 2017 to 26 Jan 2024)
  • CF30 Customer (9 Dec 2015 to 6 Mar 2016)

No changes recorded yet.