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September 04, 2015 12:03 AM ET

Capital Markets

Company Overview of Scotia Capital Inc.

Company Overview

Scotia Capital Inc. provides investment banking services to communications, media, technology, consumer products, real estate, forest products, infrastructure, industrial products, power, mining, and oil and gas sectors. The firm offers mergers and acquisitions advisory, private placement, negotiation assistance, due diligence, and restructuring services. Additionally, it provides research, equity sales and trading, foreign exchange management, merchant banking, short-term funding, investment research, and structured leasing services. The company was founded in 1999 and is headquartered Toronto, Canada with additional offices in Halifax, Montreal, Calgary, and Vancouver, Canada; Atlanta, Geo...

40 King Street West

Scotia Plaza

P.O. Box 4085, Station A

Toronto, ON M5W 2X6

Canada

Founded in 1999

Phone:

416-863-7411

Fax:

416-862-3052

Key Executives for Scotia Capital Inc.

Chairman of the Board and Chief Executive Officer
Age: 49
Managing Director and Acting Head of Equity Research
Chief Executive Officer of Scotiabank and President of Scotiabank
Age: 56
Vice Chairman and Deputy Head of U.S. Corporate
Vice-Chairman and Head of North American Private Equity and Sponsor Coverage
Compensation as of Fiscal Year 2015.

Scotia Capital Inc. Key Developments

Scotia Capital to Pay $500,000 After Self-Reporting Failings by Client Advisers

Scotia Capital has been fined $500,000 and faces other penalties under a settlement agreement with the Investment Industry Regulatory Organization of Canada. The agreement follows an admission by the division of regulatory failings by DWM Securities Inc., which subsequently amalgamated with Scotia Capital under the HollisWealth brand and is an independent wealth advisory unit of Scotiabank. DWM failed to establish and maintain a system of controls and supervision that was adequate to ensure that certain retail clients were qualified to purchase investment funds offered pursuant to prospectus exemptions, contrary to IIROC rules. In addition to the fine, Scotiabank is required to report on the execution of the remediation plan by Oct. 30 and is to impose internal fines on individual client advisers ranging from $2,500 to $30,000. The proceeds, totaling some $440,000, are to be donated to charity.

Scotia Capital Inc. Presents at SPE London Annual Conference 2015, Jun-10-2015 03:30 PM

Scotia Capital Inc. Presents at SPE London Annual Conference 2015, Jun-10-2015 03:30 PM. Venue: One Great George Street, Westminster, London, SW1P 3AA, United Kingdom. Speakers: Herve Le Guen, Technical Director, EMEA Energy ­ Origination.

Scotiabank Global Banking and Markets Presents at 2015 CAPP Scotiabank Investment Symposium, Apr-08-2015 09:00 AM

Scotiabank Global Banking and Markets Presents at 2015 CAPP Scotiabank Investment Symposium, Apr-08-2015 09:00 AM. Venue: Sheraton Centre Hotel, 123 Queen Street West, Toronto, Ontario, Canada. Speakers: Chris Dorland, MD Natural Gas.

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