# EDGAR Filing Document

**Accession Number:** 0000009631
**File Stem:** 0000009631-23-000002
**Filing Date:** 2023-2
**Character Count:** 48288
**Document Hash:** c68ece12cfcf1900c600409aa062ffba
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000009631-23-000002.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0000009631-23-000002

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 7

**FILED AS OF DATE**: 20230201

**DATE AS OF CHANGE**: 20230207

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BANK OF NOVA SCOTIA
- **CENTRAL INDEX KEY:** 0000009631
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **IRS NUMBER:** 134941099
- **STATE OF INCORPORATION:** Z4
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00179
- **FILM NUMBER:** 23592855

**BUSINESS ADDRESS:**
- **STREET 1:** 40 TEMPERANCE STREET
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M5H 0B4
- **BUSINESS PHONE:** (416) 866-3672

**MAIL ADDRESS:**
- **STREET 1:** 40 TEMPERANCE STREET
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M5H 0B4

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BANK OF NOVA SCOTIA /
- **DATE OF NAME CHANGE:** 19970702

### Attached PDF Documents

**Attachment 1:** `SchBRecordkeeper.pdf`

Schedule B of Form SBSE-A
Page 1
Continuation Page

# Section II: Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings

IHSMarkit [and/or SwapOne]
450 W. 33rd Street, 5th floor
New York, NY 10001

Effective Date: 08-16-2021
Termination Date:

Briefly describe the nature of the arrangement with respect to books or records (13A): Bank of Nova Scotia uses HIS Markit for electronic storage of blotter and ledger records.

# Global Relay

220 Cambie St., 2nd Floor
Vancouver, BC V6B 2M9
Attention: Legal

Effective Date: 05-05-15
Termination Date:

Briefly describe the nature of the arrangement with respect to books or records (13A): Bank of Nova Scotia uses Global Relay for storage of records of voice and electronic communications.

# RedBox

180 Maiden Lane, Floor 10
New York, NY 10038

Effective Date: 01-31-2020
Termination Date:

Briefly describe the nature of the arrangement with respect to books or records (13A): Bank of Nova Scotia uses Global Relay for storage of records of voice and electronic communications.

# Broadridge

5 Dakota Drive, Suite 300
Lake Success, NY 11042

Effective Date: 09-18-2008
Termination Date:

Schedule B of Form SBSE-A
Page 1
Continuation Page

Briefly describe the nature of the arrangement with respect to books or records (13A): Bank of Nova Scotia uses Broadridge for electronic storage of records related to cash reporting and confirmations for securities.

ICE
5660 New Northside Drive, NW, Third Floor
Atlanta, GA 30328

Effective Date:

Termination Date:

Briefly describe the nature of the arrangement with respect to books or records (13A): Bank of Nova Scotia uses ICE for storage of portfolio compression electronic records.

**Attachment 2:** `SchFcont.pdf`

Schedule F of Form SBSE-A
Page 1s
Continuation Page

# Section II: Registration with Foreign Financial Regulatory Authorities

## AUSTRALIAN FINANCIAL SERVICES

Foreign Registration Number: AFSL #483575 / ABN 34133513827

Country: Australia

## CHINA BANKING AND INSURANCE REGULATORY COMMISSION

Foreign Registration Number: 91110000X000343313, 91440000X18467477T, 91310000792796659G

Country: China

## RESERVE BANK OF INDIA

Foreign Registration Number: BOM.37, BL.B.197

Country: India

## MONETARY AUTHORITY OF SINGAPORE

Foreign Registration Number: S74FC2433H

Country: Singapore

## KANTO FINANCIAL BUREAU ENTRUSTED BY FINANCIAL SERVICES AGENCY

Foreign Registration Number: 2800

Country: Japan

## FINANCIAL SERVICES COMMISSION

Foreign Registration Number: 104-84-00466

Country: South Korea

Schedule F of Form SBSE-A
Page 1s
Continuation Page

# FINANCIAL SUPERVISORY SERVICES

Foreign Registration Number: 104-84-00466

Country: South Korea

**Attachment 3:** `BooksandRecordsOpinion.pdf`

McCarthy Tétrault LLP
PO Box 48, Suite 5300
Toronto-Dominion Bank Tower
Toronto ON M5K 1E6
Canada
Tel: 416-362-1812
Fax: 416-868-0673

# mccarthy tetrault

October 29, 2021

To: Securities and Exchange Commission

Dear Sirs/Mesdames:

## Re: The Bank of Nova Scotia

We have acted as Canadian counsel for The Bank of Nova Scotia (the "SBSD") in connection with its application for registration as a non-resident security-based swap dealer (the "Application") with the Securities and Exchange Commission (the "Commission").

## Definitions

In this opinion:

"Books and Records" means the SBSD's (i) books and records that relate to the SBSD's "U.S. business" as such term is defined in Rule 3a71-3 under the U.S. Securities and Exchange Act of 1934, as amended (the "Exchange Act") and (ii) financial records necessary for the Commission to assess the compliance of the SBSD with applicable capital and margin requirements under the Exchange Act and rules promulgated by the Commission thereunder.

## Applicable Laws

The opinions expressed herein are restricted to the laws of the Province of Ontario and Québec and the laws of Canada applicable therein ("Applicable Law"). A complete set of Books and Records is accessible in Ontario or Québec.

## Assumptions and Fact Reliance

We have assumed, where the Books and Records contain "personal information" under the Personal Information Protection and Electronic Documents Act (Canada) or the Act respecting the protection of personal information in the private sector (Québec), that the SBSD is required under U.S. law to provide access to the Books and Records to the Commission and to submit for onsite inspection and examination by the Commission.

We have relied upon the certificate of an officer of the SBSD dated as of the date hereof, with respect to the accuracy of the following factual matters, which factual matters have not been independently investigated or verified by us: (a) a complete set of Books and Records is accessible in Ontario or Québec and (b) the manner of addressing any restrictions on disclosure by the SBSD under the Bank Act (Canada) has been discussed with Commission staff.

013163/551757

MT MTDOCS 42876630v1

mccarthy tetrault
page 2

# Opinion

Based and relying upon the foregoing, and subject to the conditions hereinafter expressed, we are of the opinion that, on the date hereof, the SBSD can, as a matter of Applicable Law, provide the Commission with prompt access to the Books and Records and submit to onsite inspection and examination by the Commission, conditional on addressing any restrictions on disclosure by the SBSD under the Bank Act (Canada) in a manner which we understand has been discussed with Commission staff.

This opinion is furnished solely for the benefit of the Commission and SBSD in connection with the Application.

Yours very truly,

Mccarthy Tetrault, LLP

013163/551757
MT MTDOCS 42876630v1

**Attachment 4:** `Form7Rcomplete.pdf`

NFA

# Entity Profile Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

## Current Status Information

| Branch ID | Status | Effective Date |
| --- | --- | --- |
|  | NFA MEMBER APPROVED | 05/13/2013 |
|  | SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
|  | NFA ID 0424673 SCOTIA CAPITAL USA INC |  |
|  | PRINCIPAL APPROVED | 09/21/2010 |

## Status History Information

| Status | Effective Date |
| --- | --- |
| NFA MEMBER APPROVED | 05/13/2013 |
| SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
| NFA MEMBER PENDING | 12/12/2012 |
| SWAP DEALER PENDING | 12/12/2012 |
| EXEMPT FOREIGN FIRM WITHDRAWN | 10/07/2004 |
| EXEMPT FOREIGN FIRM APPROVED | 01/26/2001 |
| EXEMPT FOREIGN FIRM PENDING | 12/05/1997 |
| NFA ID 0424673 SCOTIA CAPITAL USA INC |  |
| PRINCIPAL APPROVED | 09/21/2010 |

## Outstanding Requirements

Annual Due Date: 6/1/2022

4S SUBMISSIONS IN REVIEW

ANNUAL MEMBERSHIP DUES REQUIRED FOR 12/1/2021

ANNUAL MEMBERSHIP DUES REQUIRED FOR 3/1/2022

Page 1 of 2

Disciplined Employee Summary
Page 2 of 2

NFA

# Business Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Name | BANK OF NOVA SCOTIA THE |
| --- | --- |
| Form of Organization | CORPORATION |
| Country | CANADA |
| Federal EIN | 134941099 |
| Business Address |  |
| Street Address 1 | 1709 HOLLIS STREET |
| City | HALIFAX |
| Province | NOVA SCOTIA |
| Zip/Postal Code | B3J 3B7 |
| Country | CANADA |
| Phone Number | 416-866-6161 |
| Fax Number | 416-866-3750 |
| Email | EMAIL@SCOTIABANK.COM |
| Website/URL | WWW.SCOTIABANK.COM |
| CRD/IARD ID | Not provided |
|  | CORPORATION |
|  | F |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Exempt Foreign Firm Contact Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Exempt Foreign Firm Contact Address |  |
| --- | --- |
| First Name | JUNG |
| Last Name | LEE |
| Title | DIRECTOR SWAP DEALER COMPLIANCE |
| Street Address 1 | 250 VESEY STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10281 |
| Country | UNITED STATES |
| Phone | 347-885-2563 |
| Email | JUNG.LEE@SCOTIABANK.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

Other Names

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

SCOTIABANK
DBA IN USE

SCOTIAMOCATTA
DBA NOT IN USE

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 1 of 1

NFA

# Location of Business Records

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Street Address 1 | SCOTIA PLAZA |
| --- | --- |
| Street Address 2 | 44 KING STREET WEST |
| City | TORONTO |
| Province | NOVA SCOTIA |
| Zip/Postal Code | M5H 1H1 |
| Country | CANADA |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# U.S. Address for the Production of Business Records

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Office Of | THE BANK OF NOVA SCOTIA - NY AGENCY |
| --- | --- |
| Street Address 1 | 250 VESEY STREET |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10281 |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Principal Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

## Individual Information

NFA ID 0480212
Name AUFREITER, NORA ANNE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 10-08-2014

NFA ID 0473960
Name BABATZ, GUILLERMO ENRIQUE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 03-26-2014

NFA ID 0493486
Name BONHAM, SCOTT WAYNE BARCLAY
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 03-21-2016

NFA ID 0540584
Name CALLAHAN, DANIEL HUGHES
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 06-30-2021

NFA ID 0526052
Name DUSSEAU, SEAN M
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 11-08-2019

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| NFA ID | 0537099 |
| --- | --- |
| Name | GORDON, SARAH |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-29-2021 |
| NFA ID | 0483013 |
| Name | HASKINS, KEITH PRUYN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-28-2015 |
| NFA ID | 0509164 |
| Name | LAWRENCE, JASON PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-18-2019 |
| NFA ID | 0488363 |
| Name | MARCOCCIA, LORETTA |
| Title(s) | CHIEF OPERATING OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-13-2020 |
| NFA ID | 0519296 |
| Name | NEATE, JAMES |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0533099 |
| Name | PATTERSON, LYNN KATHERINE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Effective Date | 10-15-2020 |
| --- | --- |
| NFA ID | 0533876 |
| Name | PATTISON, DEREK STEWART |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-26-2020 |
| NFA ID | 0506413 |
| Name | PENNER, MICHAEL DAVID |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-23-2017 |
| NFA ID | 0453357 |
| Name | PORTER, BRIAN JOHNSTON |
| Title(s) | CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0496084 |
| Name | POWER, UNA MARIE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-28-2016 |
| NFA ID | 0462077 |
| Name | REGENT, AARON WILLIAM |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-12-2013 |
| NFA ID | 0534533 |
| Name | ROVINESCU, CALIN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Status | APPROVED |
| --- | --- |
| Effective Date | 01-11-2021 |
| NFA ID | 0533165 |
| Name | SCURFIELD, PAUL MORGAN |
| TItle(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-24-2020 |
| NFA ID | 0452917 |
| Name | SEGAL, SUSAN LOUISE |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0496085 |
| Name | THOMSON, LAWREN SCOTT |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-28-2016 |
| NFA ID | 0514467 |
| Name | VISWANATHAN, RAJAGOPAL |
| TItle(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-19-2018 |
| NFA ID | 0298517 |
| Name | WARMBOLD, BENITA MARIE |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-27-2018 |
| Holding Company Information |  |
| Not provided |  |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Principal Name and Financial Interest

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

## Current Firms

| Sponsor ID | Sponsor Name | Title(s) | 10% or more interest? |
| --- | --- | --- | --- |
| 0424673 | SCOTIA CAPITAL USA INC |  | Y |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

Non-U.S. Regulator Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

THE OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS (CANADA) FINANCIAL SERVICES AUTHORITY (UK) HONG KONG MONETARY AUTHORITY SECURITIES AND FUTURES COMMISSION CHINA BANKING REGULATORY COMMISSION PEOPLE'S BANK OF CHINA STATE ADMINISTRATION OF FOREIGN EXCHANGE RESERVE BANK OF INDIA SECURITIES &amp; EXCHANGE BOARD OF INDIA BANK NEGARA MALAYSIA LABUAN FINANCIAL SERVICES AUTHORITY MONETARY AUTHORITY OF SINGAPORE FINANCIAL SUPERVISORY COMMISSION CENTRAL BANK OF THE REPUBLIC OF CHINA TAIWAN FINANCIAL SERVICES COMMISSION FINANCIAL SUPERVISORY SERVICES KOREA EXCHANGE FINANCIAL SERVICES AGENCY CENTRAL BANK OF EGYPT GENERAL AUTHORITY FOR INVESTMENT

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

Disciplinary Information - Criminal Disclosures

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

THE QUESTIONS ON THIS PAGE MUST BE ANSWERED "YES" EVEN IF:

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

THE QUESTIONS MAY BE ANSWERED "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

For each matter that requires a "Yes" answer to Questions A, B or C below, a Criminal Disclosure Matter Page (DMP) must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any; and
- the date of the determination.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the charges;
- the classification of the offense, i.e., felony or misdemeanor;
- the plea, sentencing and probation information, as applicable;
- the final disposition; and
- a summary of the circumstances surrounding the criminal matter.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

Question A

Has the firm ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any U.S., non-U.S. or military court?

No

Question B

Has the firm ever pled guilty to or been convicted or found guilty of any misdemeanor in any U.S., non-U.S. or military court which involves:

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering, or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the U.S. Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or securities?

No

Question C

Is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

Yes

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

Disciplinary Information - Regulatory Disclosures

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Questions D, E, F, G, H or I below, a Regulatory DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the regulatory matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

Question D

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has a court ever permanently or temporarily enjoined the firm after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

No

Question E

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

No

Question F

Has the firm ever been debarred by any agency of the U.S. from contracting with the U.S.?

No

Question G

Has the firm ever been the subject of any order issued by or a party to any agreement with a U.S. or non-U.S. regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a U.S. futures exchange) that prevented or restricted the firm's ability to engage in any business in the financial services industry?

No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

Question H

Are any of the orders or other agreements described in Question G currently in effect against the firm?

No

Question I

Is the firm a party to any action, the resolution of which could result in a "Yes" answer to the above questions?

No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

Disciplinary Information - Financial Disclosures

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Question J below, a Financial DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the financial matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

Question J

Has the firm ever been the subject of an **adversary action** brought by a U.S. bankruptcy trustee?

No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Registration Contact Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| First Name | HEIDI |
| --- | --- |
| Last Name | FEENEY |
| Title | COMPLIANCE OFFICER |
| Street Address 1 | 250 VESEY STREET |
| Street Address 2 | 24TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10281 |
| Country | UNITED STATES |
| Phone | 212-225-6574 |
| Fax | 212-225-6773 |
| Email | HEIDI.FEENEY@SCOTIABANK.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Enforcement/Compliance Communication Contact Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| First Name | SEAN |
| --- | --- |
| Last Name | DUSSEAU |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 250 VESEY STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10281 |
| Country | UNITED STATES |
| Phone | 212-225-5111 |
| Email | SEAN.DUSSEAU@SCOTIABANK.COM |

| First Name | JUNG |
| --- | --- |
| Last Name | LEE |
| Title | DIRECTOR |
| Street Address 1 | 250 VESEY STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10281 |
| Country | UNITED STATES |
| Phone | 347-885-2563 |
| Email | DERIVATIVESCOMPLIANCE@SCOTIABANK.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Membership Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

Indicate the category in which the Member intends to vote on NFA membership matters. SWAP DEALER

U.S. Regulator Information

Is the firm currently regulated by any of the regulators listed below? Yes

THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Membership Contact Information

Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

## Membership Contact

First Name: HEIDI
Last Name: FEENEY
Title: COMPLIANCE OFFICER
Street Address 1: 250 VESEY STREET
Street Address 2: 24TH FLOOR
City: NEW YORK
State (United States only): NEW YORK
Zip/Postal Code: 10281
Country: UNITED STATES
Phone: 212-225-6574
Fax: 212-225-6773
Email: HEIDI.FEENEY@SCOTIABANK.COM

## Accounting Contact

First Name: SHAREZ
Last Name: LAWS
Title: ASSOCIATE
Street Address 1: 40 KING STREET WEST
Street Address 2: 56TH FLOOR
Street Address 3: REGULATORY BUSINESS SUSTAINMENT
City: TORONTO
Province: ONTARIO
Zip/Postal Code: M5H 4A9
Country: CANADA
Phone: (416) 862-3941
Email: SHAREZ.LAWS@SCOTIABANK.COM

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Arbitration Contact |  |
| --- | --- |
| First Name | ANNA |
| Last Name | DOMYANCIC |
| Title | DIRECTOR SENIOR LEGAL COUNSEL |
| Street Address 1 | 250 VESEY STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10281 |
| Country | UNITED STATES |
| Phone | 917-603-9083 |
| Email | ANNA.DOMYANCIC@SCOTIABANK.COM |
| Compliance Contact |  |
| First Name | SEAN |
| Last Name | DUSSEAU |
| Title | SWAP DEALER CCO AND VICE PRESIDENT |
| Street Address 1 | 250 VESEY STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10281 |
| Country | UNITED STATES |
| Phone | 212-225-5111 |
| Email | SEAN.DUSSEAU@SCOTIABANK.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 18, 2021

NFA ID 0283953 BANK OF NOVA SCOTIA THE

| Chief Compliance Officer Contact |  |
| --- | --- |
| First Name | SEAN |
| Last Name | DUSSEAU |
| Title | SWAP DEALER CCO AND VICE PRESIDENT |
| Street Address 1 | 250 VESEY STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10281 |
| Country | UNITED STATES |
| Phone | 212-225-5111 |
| Email | SEAN.DUSSEAU@SCOTIABANK.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

10/18/21, 12:31 PM
Online Registration System - Branch Office Manager List

NFA

# Online Registration System

NFA Home | BASIC | Log off user kellyp4

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Search for an NFA ID | View Registration Information

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## Search

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## Disciplinary Information

- Disclosure Information
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## Firm Profile

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NFA ID 0283953 | Enter | BANK OF NOVA SCOTIA THE

No information available.

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© 2002-2021 National Futures Association

https://www.nfa.futures.org/eReg/view/BOMFirm.asp?nfold=0283953
1/1

10/18/21, 12:12 PM
https://www.nfa.futures.org/ORS/DMP/Firm/Criminal.aspx?NFAID=0283953&amp;dmpNumber=17244&amp;dmpNumberVersion=1

Online Registration System
Disciplinary Information - Firm Criminal Disclosure Matter Page

# NFA ID 0283953 - BANK OF NOVA SCOTIA THE

Please file a separate Disclosure Matter Page (DMP) for each criminal case.

☑ Back to Summary

## Disclosure Questions

Completing this section does not update answer(s) to the Criminal Disclosure question(s). To update the Criminal Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the criminal action under: ☑ Show Questions

☐ A ☐ B ☑ C

## Criminal Case Information

**COURT TYPE AND FILING DATE**

☑ Court Type: FEDERAL COURT
☑ Date Filed: AUGUST 2019

**COURT INFORMATION**

☑ Name of Court: UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY
☑ City or County: TRENTON
☑ State: NEW JERSEY
☑ Country: UNITED STATES

**CASE INFORMATION**

☑ Case Number: CASE NO. 20-707 (MAS)
☑ Case Status: FINAL

## Charge Details

https://www.nfa.futures.org/ORS/DMP/Firm/Criminal.aspx?NFAID=0283953&amp;dmpNumber=17244&amp;dmpNumberVersion=1

10/18/21, 12:12 PM

https://www.nfa.futures.org/ORS/DMP/Firm/Criminal.aspx?NFAID=0283953&amp;dmpNumber=17244&amp;dmpNumberVersion=1

You must complete a charge details section for each disclosable charge in the criminal case.

Show

All

entries

Search:

| Formal Charge Description | Classification | Plea Entered | Disposition |
| --- | --- | --- | --- |
| 18 U.S.C. SEC. 1343 (WIRE FRAUD) AND 7 U.S.C. SEC. 13(A)(2) (ATTEMPTED PRICE MANIPULATION) | FELONY | NO PLEA ENTERED | OTHER - DEFERRED PROSECUTION AGREEMENT |

# Comments

Use this field to provide a summary of the circumstances surrounding the charge(s), the current status or final disposition including sentencing/penalty information.

On August 19, 2020, The Bank of Nova Scotia ("BNS") entered into a deferred prosecution agreement ("DPA") with the United States Department of Justice, Criminal Division, Fraud Section, and the United States Attorney's Office for the District of New Jersey (collectively, the "Fraud Section and the Office") with respect to a two-count criminal information that was filed on the same date in the United States District Court for the District of New Jersey, charging BNS with wire fraud, in violation of Title 18, United States Code, Section 1343, and attempted price manipulation, in violation of Title 7, United States Code, Section 13(a)(2) (the "Information"). BNS waived indictment, consented to the filing of the Information, and accepted and acknowledged responsibility for the acts of its officers, directors, employees, and agents as charged in the Information and as set forth in the Statement of Facts accompanying the DPA. A plea was not entered in respect of any of the charges.

As described in the Statement of Facts attached to the DPA, from approximately January 2008 to July 2016, four precious metals traders located in New York, London, and Hong Kong, engaged in fraudulent and manipulative trading practices in connection with the purchase and sale of gold and silver futures contracts traded on Commodity Exchange Inc. (COMEX) and platinum, and palladium futures contracts traded on the New York Mercantile Exchange Inc. (NYMEX). Further, as discussed in the Statement of Facts, BNS's compliance function failed to detect or prevent the traders' unlawful trading practices and, between approximately August 2013 and February 2016, three compliance officers had

# Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the information/indictment, superseding indictments, plea agreement or findings by jury, judgment, sentencing and/or probation order, proof of satisfaction of sentence, and the final disposition of the court. If court documentation is no longer available, please submit a certified letter from the applicable court providing the reason the documentation is not on file.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Criminal.aspx?NFAID=0283953&amp;dmpNumber=17244&amp;dmpNumberVersion=1

10/18/21, 12:12 PM
https://www.nfa.futures.org/ORS/DMP/DMPSummary.aspx?dmpType=CRIMINAL#0283953

Online Registration System
Disciplinary Information - Criminal Disclosure Matter Summary

NFA ID
0283953
BANK OF NOVA SCOTIA THE

To view a current Disclosure Matter Page (DMP), click the link in the Date DMP Filed column. To view the historical versions of DMPs, click the link in the Prior Filing(s) column if applicable.

For additional assistance, contact NFA at (800) 621-3570 or (312) 781-1410. You may also send an email to registration@nfa.futures.org.

Current Criminal Disclosure Matter Summary (1 DMP)
Show 100 entries
Search:

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
| C | 17244 | 09/10/2020 | UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY CASE NO. 20-707 (MAS) | FINAL | 8/2019 |  |  |

Archived Criminal Disclosure Matter Summary

There are currently no archived DMPs.

https://www.nfa.futures.org/ORS/DMP/DMPSummary.aspx?dmpType=CRIMINAL#0283953

Firm Criminal Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on September 10, 2020

NFA ID 0283953 BANK OF NOVA SCOTIA THE

Submitted by HEIDI FEENEY (FEENEYH)

The question(s) you are disclosing the criminal action under:

C.

Is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

# Criminal Case Information

| Formal Charge(s) Information |  |
| --- | --- |
| Filing Location | FEDERAL COURT |
| Date Filed | August 2019 |
| Court Information |  |
| Name of Court | UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY |
| City or County | TRENTON |
| State | NEW JERSEY |
| Country | UNITED STATES |
| Case Information |  |
| Case Number | CASE NO. 20-707 (MAS) |
| Case Status | FINAL |

# Charge Details

| Formal Charge Description | 18 U.S.C. SEC. 1343 (WIRE FRAUD) AND 7 U.S.C. SEC. 13(A)(2) (ATTEMPTED PRICE MANIPULATION) |
| --- | --- |
| Classification | FELONY |
| Plea Entered | NO PLEA ENTERED |
| Disposition | OTHER - DEFERRED PROSECUTION AGREEMENT |

# Comments

On August 19, 2020, The Bank of Nova Scotia ("BNS") entered into a deferred prosecution agreement ("DPA") with the United States Department of Justice, Criminal Division, Fraud Section, and the United States Attorney's Office for the District of New Jersey (collectively, the "Fraud Section and the Office") with respect to a two-count criminal information that was filed on the same date in the United States District Court for the District of New Jersey, charging BNS with wire fraud, in violation of Title 18, United States Code, Section 1343, and attempted price manipulation, in violation of Title 7, United States Code, Section 13(a)(2) (the "Information"). BNS waived indictment, consented to the filing of the Information, and accepted and

Page 1 of 2

acknowledged responsibility for the acts of its officers, directors, employees, and agents as charged in the Information and as set forth in the Statement of Facts accompanying the DPA. A plea was not entered in respect of any of the charges.

As described in the Statement of Facts attached to the DPA, from approximately January 2008 to July 2016, four precious metals traders located in New York, London, and Hong Kong, engaged in fraudulent and manipulative trading practices in connection with the purchase and sale of gold and silver futures contracts traded on Commodity Exchange Inc. (COMEX) and platinum, and palladium futures contracts traded on the New York Mercantile Exchange Inc. (NYMEX). Further, as discussed in the Statement of Facts, BNS's compliance function failed to detect or prevent the traders' unlawful trading practices and, between approximately August 2013 and February 2016, three compliance officers had substantial information regarding unlawful trading by one of the traders but failed to prevent further unlawful conduct by that trader. Pursuant to the DPA, BNS agreed to pay a total of $60.4 million, including a $42 million criminal monetary penalty (half of which was offset against a civil monetary penalty paid to the Commodity Futures Trading Commission, disgorgement of approximately $11.8 million, and a victim compensation payment of approximately $6.6 million. BNS also agreed to continue to cooperate with the Fraud Section and Office in any ongoing investigations and prosecutions relating to the underlying misconduct, modify its compliance program where necessary and appropriate, and retain an independent compliance monitor for a period of three years. Prosecution was deferred for three years from the date the independent compliance monitored is retained. And if BNS complies with the terms of the DPA, the charges against BNS will be dismissed 3.5 years from the date the monitor is retained.

Supporting Documentation

Not provided

Page 2 of 2

**Attachment 5:** `booksandRecordsCert.pdf`

# OFFICER'S CERTIFICATE

TO: Securities and Exchange Commission (the "Commission")

I, Derek Pattison, Senior Vice-President, GBM Internal Control of The Bank of Nova Scotia (the "SBSD") certify, for and on behalf of the SBSD, that:

1. In this Certificate, the following terms have the following meaning:

"Books and Records" means the SBSD's (i) books and records that relate to the SBSD's "U.S. business" as such term is defined in Rule 3a71-3 under the U.S. Securities and Exchange Act of 1934, as amended (the "Exchange Act") and (ii) financial records necessary for the Commission to assess the compliance of the SBSD with applicable capital and margin requirements under the Exchange Act and rules promulgated by the Commission thereunder.

2. The SBSD can as a matter of law, and will (1) provide the Commission with prompt access to its Books and Records, and (2) submit to onsite inspection and examination by the Commission, conditional on addressing any restrictions on disclosure by the SBSD under the Bank Act (Canada) in a manner which I understand has been discussed with the Commission staff.

3. A complete set of Books and Records is accessible in Ontario.

4. Notwithstanding the language of the certification regarding access to records provided on Schedule F of the SBSDs for SBSE and my signature thereto, my certification to the Commission is made with the condition provided in item 2 above.

DATED as of October 29, 2021.

![img-0.jpeg](img-0.jpeg)

013163/551757
MT MTDOCS 42877436v1

**Attachment 6:** `AmendmentMemo.pdf`

Scotiabank
GLOBAL BANKING AND MARKETS
02/01/2023

# Memo: SBSE-A Amendment

This memo is to inform the Securities and Exchange Commission staff that the Bank of Nova Scotia ("BNS") has filed an amended Form SBSE-A to: (i) make updates to the list of Principals, including reflecting BNS' change in Chief Executive Officer and adding additional Principals; (ii) amending the designated agent for service of process; and (iii) amending the Bank's principal address.

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** BANK OF NOVA SCOTIA

**NFA Number:** 283953

**IRS Employer ID No.:** 13-4941099

**CIK:** 0000009631

**UIC:** L3I9ZG2KFGXZ61BMYR72

**Main Address:** 40 TEMPERANCE STREET, TORONTO, A6, M5H 0B4

**Business Telephone:** (416) 866-3672

**Contact Employee:**

- **Name:** Varun Vasudev

- **Title:** Director, Regulatory Relations

- **Phone:** 212-225-5336

- **Email:** Varun.Vasudev@scotiabank.com

**Chief Compliance Officer:**

- **Name:** Sean Dusseau

- **Title:** Managing Director, Swap Dealer and Derivatives Compliance

- **Phone:** 347-972-0426

- **Email:** sean.dusseau@scotiabank.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

**Description of Business:**
The Bank of Nova Scotia is a chartered schedule I bank under the Bank Act (Canada), headquartered in Toronto, Canada. BNS has been provisionally registered with the CFTC as a Swap Dealer since December 31, 2012. In addition, the Bank of Nova Scotia holds itself out as dealer in security-based swaps; makes a market in security-based swaps; and regularly enters into security-based swaps with counterparties as an ordinary course of business for its own account.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** No

**Is control exercised through an agreement?:** No

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 23

### Schedule A: Principals

| Name                       | Title or Status                                     | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Nora Anne Aufreiter        | Director                                            | 10/2014         | 08/2014              | NA - less than 5% |       480212 |
| Guillermo Enrique Babatz   | Director                                            | 03/2014         | 01/2014              | NA - less than 5% |       473960 |
| Scott Wayne Barclay Bonham | Director                                            | 03/2016         | 01/2016              | NA - less than 5% |       493486 |
| Hughes Callahan Daniel     | Director                                            | 06/2021         | 06/2021              | NA - less than 5% |       540584 |
| Sean Dusseau               | Chief Compliance Officer                            | 11/2019         | 11/2019              | NA - less than 5% |       526052 |
| Sarah Gordon               | Head of a Business Unit, Division or Function       | 06/2021         | 11/2001              | NA - less than 5% |       537099 |
| Keith Pruyn Hasking        | Head of a Business Unit, Division or Function       | 01/2015         | 06/1998              | NA - less than 5% |       483013 |
| Jason Paul Lawerence       | Chief Executive Officer, Global Banking and Markets | 01/2019         | 07/2002              | NA - less than 5% |       509164 |
| Loretta Marcoccia          | Chief Operating Officer                             | 10/2020         | 04/2015              | NA - less than 5% |       488363 |
| Lynn Katherine Patterson   | Director                                            | 10/2020         | 09/2020              | NA - less than 5% |       533099 |
| Derek Stewart Pattison     | Head of a Business Unit, Division or Function       | 10/2020         | 07/2005              | NA - less than 5% |       533876 |
| Michael David Penner       | Director                                            | 08/2017         | 06/2017              | NA - less than 5% |       506143 |
| Marie Una Power            | Director                                            | 06/2016         | 04/2016              | NA - less than 5% |       496084 |
| Aaron William Regent       | Director                                            | 06/2013         | 04/2013              | NA - less than 5% |       462077 |
| Calin Rovinescu            | Director                                            | 01/2021         | 11/2020              | NA - less than 5% |       534533 |
| Paul Morgan Scurfield      | Head of a Business Unit, Division or Function       | 09/2020         | 09/2019              | NA - less than 5% |       533165 |
| Susan Louie Segal          | Director                                            | 06/2016         | 04/2016              | NA - less than 5% |       452917 |
| Lawren Scott Thomson       | Chief Executive Officer                             | 02/2023         | 04/2016              | NA - less than 5% |       496085 |
| Rajagopal Viswanathan      | Chief Financial Officer                             | 06/2018         | 11/2002              | NA - less than 5% |       514467 |
| Benita Warmbold            | Director                                            | 11/2018         | 10/2018              | NA - less than 5% |       298517 |
| Ian Arrelano               | Head of a Business Unit, Division, or Function      | 09/2017         | 09/2017              | NA - less than 5% |       549081 |
| Michael Zerbs              | Head of a Business Unit or Function                 | 04/2021         | 04/2014              | NA - less than 5% |       550908 |
| Dave Dowrich               | Director                                            | 06/2022         | 06/2022              | NA - less than 5% |       549460 |

### Schedule B: Explanations

**Description:**
In addition to its securities related business, Bank of Nova Scotia engages in certain Canadian and International Banking activities. Canadian Banking provides financial advice and banking solutions to Retail, Small Business and Commercial Banking customers through a network of branches and automated banking machines, online, mobile and telephone banking. Canadian Banking is comprised of: (i) Retail banking providing financial advice and solutions along with day-to-day banking products, (ii) Tangerine Bank also providing investments to self-directed customers, and (iii) Business banking which delivers advice and banking and trade finance solutions to small, medium and large businesses. International Banking has a diverse franchise with Retail, Corporate, and Commercial customers served by a network of branches, ATMs and contact centres.

**Records Keeper:**

- **Name:** Iron Mountain Information Management

  - **Address:** 1 Federal Street, Boston, MA, 02110

  - **Effective Date:** 12-07-2004

  - **Arrangement:** —

- **Name:** IHS Markit: SwapOne

  - **Address:** 450 W. 33rd Street, 5th floor, New York, NY, 10001

  - **Effective Date:** 08-16-2021

  - **Arrangement:** —

- **Name:** Global Relay

  - **Address:** 220 Cambie St., 2nd Floor, Vancouver, A1, BC V6B 2M9

  - **Effective Date:** 05-05-2015

  - **Arrangement:** —

- **Name:** RedBox

  - **Address:** 180 Maiden Lane, Floor 10, New York, NY, 10038

  - **Effective Date:** 01-31-2020

  - **Arrangement:** —

### Execution

**Date:** 02-01-2023

**Name of Applicant:** BANK OF NOVA SCOTIA

**Signature:** Sean Dusseau

**Printed Name:** Sean Dusseau

**Title:** Security-Based Swap Dealer Chief Compliance Officer