schema version:

SBSE-A/A: Filer Information

SBSE-A/A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant
BANK OF NOVA SCOTIA
B. IRS Empl. Ident. No.:
13-4941099
C. Applicant's NFA ID #:
283953
Applicant's CIK #:
0000009631
Applicant’s UIC # (if any):
L3I9ZG2KFGXZ61BMYR72
D. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
40 TEMPERANCE STREET
Street Address 2:
City:
TORONTO
State/Province/Country:
ONTARIO, CANADA
Zip/ Postal Code:
M5H 0B4
E. Mailing Address, if different:
Street Address 1:
Street Address 2:
City:
State/Province/Country:
Zip/ Postal Code:
F. Business Telephone Number:
(416) 866-3672
G. Website/URL:
H. Contact Employee:
Prefix:
First Name:
Varun
Middle Name:
Last Name:
Vasudev
Suffix:
Title:
Director, Regulatory Relations
Phone:
212-225-5336
Email Address:
Varun.Vasudev@scotiabank.com
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
First Name:
Sean
Middle Name:
Last Name:
Dusseau
Suffix:
Title:
Managing Director, Swap Dealer and Derivatives Compliance
Phone:
347-972-0426
Email Address:
sean.dusseau@scotiabank.com

SBSE-A/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
09-13-2023
Name of Applicant
BANK OF NOVA SCOTIA
By: Signature
Sean Dusseau
Name of Person Signing on Applicant's behalf
Sean Dusseau
Title of Person Signing on Applicant's behalf
Security-Based Swap Dealer Chief Compliance Officer

SBSE-A/A: Applicant Data - Page 2

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  BANK OF NOVA SCOTIA
Date:     Applicant NFA No.:  283953

2.

A. The applicant is registering as a security-based swap dealer: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button not checked Yes Radio button checked No
  • avail itself of a previously granted substituted compliance determination
Radio button not checked Yes Radio button checked No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? Radio button checked Yes Radio button not checked No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: Radio button checked Swap Dealer  Radio button not checked Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: Radio button not checked Swap Dealer  Radio button not checked Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked No

7.

Briefly describe the applicant's 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.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. Radio button checked Yes Radio button not checked No
If "yes," identify the prudential regulator:
Checkbox checked The Federal Reserve Board
Checkbox not checked The Office of the Comptroller of the Currency
Checkbox not checked The Federal Deposit Insurance Corporation
Checkbox not checked The Farm Credit Administration
Checkbox not checked The Federal Housing Finance Agency

9.

Is the applicant registered with the Commission as an investment adviser? Radio button not checked Yes Radio button checked No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? Radio button not checked Yes Radio button checked No

11.

Does applicant engage in any other non-securities, financial services industry-related business? Radio button checked Yes Radio button not checked No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? Radio button checked Yes Radio button not checked No

SBSE-A/A: Applicant Data - Page 3

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  BANK OF NOVA SCOTIA
Date:     Applicant NFA No.:  283953

13.

Does the applicant have any arrangement:
A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? Radio button checked Yes Radio button not checked No
B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? Radio button not checked Yes Radio button checked No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

15.

Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others.Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button checked Yes Radio button not checked No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
24

Please list all principals who are individuals on Schedule A.

19.

Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A/A: Schedule A of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  BANK OF NOVA SCOTIA
Date:     Applicant NFA No.:  283953

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

Use Schedule A to identify all principals of the applicant who are individuals.

Complete the "Title or Status" column by entering board/management titles; status as partner, trustee, sole proprietor, or shareholder; and for shareholders, the class of securities owned (if more than one is issued).

Ownership Codes are:

NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more

FULL LEGAL NAME

Prefix
Individuals: Last Name
Aufreiter
Individuals: First Name
Nora
Individuals: Middle Name
Anne
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
10/2014
Date Individual began working for applicant (MM/YYYY)
08/2014
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
480212
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Babatz
Individuals: First Name
Guillermo
Individuals: Middle Name
Enrique
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
03/2014
Date Individual began working for applicant (MM/YYYY)
01/2014
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
473960
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Bonham
Individuals: First Name
Scott
Individuals: Middle Name
Wayne Barclay
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
03/2016
Date Individual began working for applicant (MM/YYYY)
01/2016
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
493486
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Daniel
Individuals: First Name
Hughes
Individuals: Middle Name
Callahan
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
06/2021
Date Individual began working for applicant (MM/YYYY)
06/2021
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
540584
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Dusseau
Individuals: First Name
Sean
Individuals: Middle Name
Suffix
Title or Status
Chief Compliance Officer
Date Title or Status Acquired(MM/YYYY)
11/2019
Date Individual began working for applicant (MM/YYYY)
11/2019
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
526052
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Gordon
Individuals: First Name
Sarah
Individuals: Middle Name
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
06/2021
Date Individual began working for applicant (MM/YYYY)
11/2001
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
537099
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Hasking
Individuals: First Name
Keith
Individuals: Middle Name
Pruyn
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
01/2015
Date Individual began working for applicant (MM/YYYY)
06/1998
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
483013
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Lawerence
Individuals: First Name
Jason
Individuals: Middle Name
Paul
Suffix
Title or Status
Chief Executive Officer, Global Banking and Markets
Date Title or Status Acquired(MM/YYYY)
01/2019
Date Individual began working for applicant (MM/YYYY)
07/2002
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
509164
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Marcoccia
Individuals: First Name
Loretta
Individuals: Middle Name
Suffix
Title or Status
Chief Operating Officer
Date Title or Status Acquired(MM/YYYY)
10/2020
Date Individual began working for applicant (MM/YYYY)
04/2015
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
488363
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Patterson
Individuals: First Name
Lynn
Individuals: Middle Name
Katherine
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
10/2020
Date Individual began working for applicant (MM/YYYY)
09/2020
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
533099
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Pattison
Individuals: First Name
Derek
Individuals: Middle Name
Stewart
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
10/2020
Date Individual began working for applicant (MM/YYYY)
07/2005
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
533876
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Penner
Individuals: First Name
Michael
Individuals: Middle Name
David
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
08/2017
Date Individual began working for applicant (MM/YYYY)
06/2017
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
506143
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Power
Individuals: First Name
Marie
Individuals: Middle Name
Una
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
06/2016
Date Individual began working for applicant (MM/YYYY)
04/2016
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
496084
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Regent
Individuals: First Name
Aaron
Individuals: Middle Name
William
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
06/2013
Date Individual began working for applicant (MM/YYYY)
04/2013
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
462077
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Rovinescu
Individuals: First Name
Calin
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
01/2021
Date Individual began working for applicant (MM/YYYY)
11/2020
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
534533
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Scurfield
Individuals: First Name
Paul
Individuals: Middle Name
Morgan
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
09/2020
Date Individual began working for applicant (MM/YYYY)
09/2019
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
533165
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Thomson
Individuals: First Name
Lawren
Individuals: Middle Name
Scott
Suffix
Title or Status
Chief Executive Officer
Date Title or Status Acquired(MM/YYYY)
02/2023
Date Individual began working for applicant (MM/YYYY)
04/2016
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
496085
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Viswanathan
Individuals: First Name
Rajagopal
Individuals: Middle Name
Suffix
Title or Status
Chief Financial Officer
Date Title or Status Acquired(MM/YYYY)
06/2018
Date Individual began working for applicant (MM/YYYY)
11/2002
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
514467
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Warmbold
Individuals: First Name
Benita
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
11/2018
Date Individual began working for applicant (MM/YYYY)
10/2018
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
298517
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Arrelano
Individuals: First Name
Ian
Individuals: Middle Name
Suffix
Title or Status
Head of a Business Unit, Division, or Function
Date Title or Status Acquired(MM/YYYY)
09/2017
Date Individual began working for applicant (MM/YYYY)
09/2017
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
549081
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Zerbs
Individuals: First Name
Michael
Individuals: Middle Name
Suffix
Title or Status
Head of a Business Unit or Function
Date Title or Status Acquired(MM/YYYY)
04/2021
Date Individual began working for applicant (MM/YYYY)
04/2014
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
550908
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Dowrich
Individuals: First Name
Dave
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
06/2022
Date Individual began working for applicant (MM/YYYY)
06/2022
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
549460
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Stuart
Individuals: First Name
Sandra
Individuals: Middle Name
Jessica
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
09/2023
Date Individual began working for applicant (MM/YYYY)
09/2023
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
488295
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Medline
Individuals: First Name
Michael
Individuals: Middle Name
Bennett
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
09/2023
Date Individual began working for applicant (MM/YYYY)
09/2023
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
558566
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

SBSE-A/A: Schedule B of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  BANK OF NOVA SCOTIA
Date:     Applicant NFA No.:  283953

Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.

This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: Radio button checked Initial   Radio button not checked Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

UIC (if any), or other Unique Identification Number(s):
Assigning Regulator(s)/Entity(s):
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
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.

Section II

Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings

(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Organization Name
Iron Mountain Information Management
SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any)
SEC File Number (if any)
CRD (if any)
NFA (if any)
IARD (if any)
UIC (if any)
CIK Number (if any)
Business Address (Street, City, State/Country, Zip + 4 Postal Code)
Street Address 1
1 Federal Street
Street Address 2
City
Boston
State/Country
MASSACHUSETTS
Zip + 4 Postal Code
02110
Effective Date MM DD YYYY
12-07-2004
Termination Date MM DD YYYY
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Organization Name
IHS Markit: SwapOne
SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any)
SEC File Number (if any)
CRD (if any)
NFA (if any)
IARD (if any)
UIC (if any)
CIK Number (if any)
Business Address (Street, City, State/Country, Zip + 4 Postal Code)
Street Address 1
450 W. 33rd Street
Street Address 2
5th floor
City
New York
State/Country
NEW YORK
Zip + 4 Postal Code
10001
Effective Date MM DD YYYY
08-16-2021
Termination Date MM DD YYYY
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Organization Name
Global Relay
SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any)
SEC File Number (if any)
CRD (if any)
NFA (if any)
IARD (if any)
UIC (if any)
CIK Number (if any)
Business Address (Street, City, State/Country, Zip + 4 Postal Code)
Street Address 1
220 Cambie St.
Street Address 2
2nd Floor
City
Vancouver
State/Country
BRITISH COLUMBIA, CANADA
Zip + 4 Postal Code
BC V6B 2M9
Effective Date MM DD YYYY
05-05-2015
Termination Date MM DD YYYY
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Organization Name
RedBox
SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any)
SEC File Number (if any)
CRD (if any)
NFA (if any)
IARD (if any)
UIC (if any)
CIK Number (if any)
Business Address (Street, City, State/Country, Zip + 4 Postal Code)
Street Address 1
180 Maiden Lane
Street Address 2
Floor 10
City
New York
State/Country
NEW YORK
Zip + 4 Postal Code
10038
Effective Date MM DD YYYY
01-31-2020
Termination Date MM DD YYYY
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).

SBSE-A/A: SCHEDULE F of Form SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  BANK OF NOVA SCOTIA
Date:     Applicant NFA No.:  283953

Section I

Service of Process and Certification Regarding Access to Records

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person applicant designates and appoints as agent for service of process

Prefix
First Name
Becil
Middle Name
Last Name
Hector
Suffix

B. Address of United States person applicant designates and appoints as agent for service of process

Street Address 1
250 Vesey St
Street Address 2
24th Fl
City
New York
State
NEW YORK
Zip/Postal Code
10281

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240. 15Fb2-4].

Signature:
See attachment.
Name:
See attachment.
Title:
See attachment.
Date:
10-29-2021

Section II

Registration with Foreign Financial Regulatory Authorities

Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

English Name of Foreign Financial Regulatory Authority
THE OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS
Foreign Registration No. (if any)
English Name of Country:
CANADA (FEDERAL LEVEL)
English Name of Foreign Financial Regulatory Authority
AUSTRALIAN FINANCIAL SERVICES
Foreign Registration No. (if any)
AFSL #483575 / ABN 34133513827
English Name of Country:
AUSTRALIA
English Name of Foreign Financial Regulatory Authority
CHINA BANKING AND INSURANCE REGULATORY COMMISSION
Foreign Registration No. (if any)
91110000X000343313, 91440000X18467477T, 91310000792796659G
English Name of Country:
CHINA
English Name of Foreign Financial Regulatory Authority
RESERVE BANK OF INDIA
Foreign Registration No. (if any)
BOM.37, BL.B.197
English Name of Country:
INDIA
English Name of Foreign Financial Regulatory Authority
MONETARY AUTHORITY OF SINGAPORE
Foreign Registration No. (if any)
S74FC2433H
English Name of Country:
SINGAPORE
English Name of Foreign Financial Regulatory Authority
KANTO FINANCIAL BUREAU ENTRUSTED BY FINANCIAL SERVICES AGENCY
Foreign Registration No. (if any)
2800
English Name of Country:
JAPAN
English Name of Foreign Financial Regulatory Authority
FINANCIAL SERVICES COMMISSION
Foreign Registration No. (if any)
104-84-00466
English Name of Country:
KOREA, REPUBLIC OF
English Name of Foreign Financial Regulatory Authority
FINANCIAL SUPERVISORY SERVICES
Foreign Registration No. (if any)
104-84-00466
English Name of Country:
KOREA, REPUBLIC OF

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.