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

  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.

• Brendan Leo Evans

  IRN BLE00006

  • [FCA CF] Client dealing (6 Mar 2017 to 14 Mar 2020)
• Brian Henry Burns

  IRN BHB01009

  • CF26 Customer Trading (1 Dec 2001 to 1 Nov 2006)
• Brian James Smith

  IRN BJS01074

  • [FCA CF] Material risk taker (6 Mar 2017 to 31 Oct 2018)
  • [FCA CF] Client dealing (6 Mar 2017 to 31 Oct 2018)
  • [FCA CF] Manager of certification employee (6 Mar 2017 to 31 Oct 2018)
  • CF30 Customer (11 Oct 2012 to 6 Mar 2016)
• Britton R Osler

  IRN BRO01005

  • CF30 Customer (1 Nov 2007 to 14 Feb 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Calin Serbanescu

  IRN CXS00872

  • [PRA CF] Significant risk taker or Material risk taker (since 10 Jun 2024)
  • [FCA CF] Material risk taker (since 10 Jun 2024)
  • [FCA CF] Manager of certification employee (since 10 Jun 2024)
  • [FCA CF] Client dealing (since 10 Jun 2024)
• Camilo Alberto Alvarado

  IRN CXA00154

  • [FCA CF] Client dealing (1 Mar 2023 to 1 Oct 2024)
  • [FCA CF] Significant management (1 Mar 2023 to 1 Oct 2024)
  • [FCA CF] Material risk taker (7 Jun 2021 to 1 Oct 2024)
• Carl Ross O'Donoghue

  IRN CRO01019

  • [FCA CF] Client dealing (6 Mar 2017 to 23 Jun 2018)
• Carlos Ernesto Pittaluga Quevedo

  IRN CXP00561

  • [FCA CF] Client dealing (12 Feb 2025 to 25 Jul 2025)
• Carlos Estrada

  IRN CXE00234

  • [FCA CF] Client dealing (since 25 Oct 2024)
• Carly Blades

  IRN CXB00735

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Apr 2023)
  • [FCA CF] Significant management (6 Apr 2023 to 27 Apr 2023)
  • [FCA CF] Material risk taker (6 Apr 2023 to 27 Apr 2023)

No changes recorded yet.