# EDGAR Filing Document

**Accession Number:** 0000009631
**File Stem:** 0000009631-26-000015
**Filing Date:** 2026-5
**Character Count:** 8642
**Document Hash:** bcc70c38cff57ca21dbe11535652909f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000009631-26-000015.hdr.sgml**: 20260527

**ACCESSION NUMBER**: 0000009631-26-000015

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

**PUBLIC DOCUMENT COUNT**: 6

**FILED AS OF DATE**: 20260513

**DATE AS OF CHANGE**: 20260527

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BANK OF NOVA SCOTIA
- **CENTRAL INDEX KEY:** 0000009631
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 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:** 261022518

**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:** `booksandRecordsCert.pdf`

_No text found in this document._

**Attachment 2:** `BooksandRecordsOpinion.pdf`

_No text found in this document._

**Attachment 3:** `Form7Rcomplete.pdf`

_No text found in this document._

**Attachment 4:** `Form7RUpdate.pdf`

_No text found in this document._

**Attachment 5:** `MemoMay2026.pdf`

_No text found in this document._

## 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:** Managing Director, Regulatory Relations

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

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

**Chief Compliance Officer:**

- **Name:** John Veise

- **Title:** Managing Director, SBSD Chief Compliance Officer

- **Phone:** 9178285365

- **Email:** john.veise@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:** 16

### 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 |
| Sarah Gordon             | Head of a Business Unit, Division or Function | 06/2021         | 11/2001              | NA - less than 5% |       537099 |
| Lynn Katherine Patterson | Director                                      | 10/2020         | 09/2020              | NA - less than 5% |       533099 |
| 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 |
| Paul Morgan Scurfield    | Head of a Business Unit, Division or Function | 09/2020         | 09/2019              | NA - less than 5% |       533165 |
| 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 |
| Dave Dowrich             | Director                                      | 06/2022         | 06/2022              | NA - less than 5% |       549460 |
| Sandra Jessica Stuart    | Director                                      | 09/2023         | 09/2023              |  |       488295 |
| Michael Bennett Medline  | Director                                      | 09/2023         | 09/2023              |  |       558566 |
| Steven Craig Van Wyk     | Director                                      | 11/2024         | 11/2024              | NA - less than 5% |       567525 |
| John Veise               | Chief Compliance Officer                      | 01/2025         | 09/2018              | NA - less than 5% |       568530 |
| ANTONIO OSCAR GARZA      | DIRECTOR                                      | 04/2026         | 04/2026              |  |       577729 |

### 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:** Bank of Nova Scotia uses Iron Mountain Information Management, LLC for storage of physical records.

- **Name:** IHS Markit: SwapOne

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

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

  - **Arrangement:** Bank of Nova Scotia uses IHS Markit for electronic storage of blotter and ledger records.

- **Name:** Global Relay

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

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

  - **Arrangement:** Bank of Nova Scotia uses Global Relay for storage of records of voice and electronic communications.

- **Name:** RedBox

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

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

  - **Arrangement:** Bank of Nova Scotia uses RedBox for storage of records of voice and electronic communications.

- **Name:** Broadridge

  - **Address:** 5 Dakota Drive, Suite 300, Lake Success, NY, 11042

  - **Effective Date:** 09-18-2008

  - **Arrangement:** Bank of Nova Scotia uses Global Relay for storage of records of voice and electronic communications.

- **Name:** ICE

  - **Address:** 5660 New Northside Drive, NW,Third Floor, Atlanta, GA, 30328

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Bank of Nova Scotia uses ICE for storage of portfolio compression electronic records.

### Execution

**Date:** 05-13-2026

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

**Signature:** John Veise

**Printed Name:** John Veise

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