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.

• Christian Schmidt

  IRN CXS01568

  • [FCA CF] Client dealing (6 Mar 2017 to 29 Sep 2021)
• Christopher Mark Rooke

  IRN CMR01052

  • CF29 Significant management (13 Jan 2010 to 17 May 2011)
  • CF30 Customer (1 Nov 2007 to 17 May 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher Page

  IRN CXP00650

  • [FCA CF] Client dealing (since 15 Jul 2024)
• Christopher Peter Saubergue

  IRN CPS01038

  • CF21 Investment Adviser (1 Dec 2001 to 22 Nov 2002)
• Colin Ashley Embree

  IRN CAE01041

  • CF30 Customer (21 Apr 2008 to 27 Jan 2010)
• Colin Karl Jack

  IRN CKJ01006

  • CF29 Significant management (14 Jan 2010 to 17 May 2011)
  • CF30 Customer (3 Feb 2009 to 17 May 2011)
• Cormac O'Flynn

  IRN CBO01006

  • [FCA CF] Client dealing (6 Mar 2017 to 6 Jun 2019)
  • CF30 Customer (19 Apr 2013 to 6 Mar 2016)
• Craig Cannon

  IRN CXC43062

  • [FCA CF] Material risk taker (since 4 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 4 Apr 2024)
  • [FCA CF] Client dealing (24 May 2017 to 29 Sep 2021)
• Da Chen

  IRN DXC43035

  • [FCA CF] Manager of certification employee (25 Nov 2022 to 5 May 2023)
  • [FCA CF] Algorithmic trading (1 Mar 2020 to 5 May 2023)
  • [FCA CF] Client dealing (19 Sep 2018 to 5 May 2023)
• Daniel Laurence Mitchell

  IRN DLM01059

  • CF30 Customer (4 Jun 2010 to 8 Mar 2013)

No changes recorded yet.