Execution

Tick size liquidity band 1 and 2 (from 0 to 79 trades per day)

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Retail

Execution

Equities – Shares & Depositary Receipts (T12)

01/01/2018

31/12/2018

N

Top five execution venues ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

Peel Hunt LLP | 5493007DWN0R 4YBM4C84

15.25

14.69

3.77

55.02

0

CANACCORD GENUITY LIMITED | ZBU7VFV5NIMN 4ILRFC23

14.23

5.44

6.87

46.13

0

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX 3PIG2R0745

13.74

22.55

3.61

54.44

0

CANTOR FITZGERALD EUROPE | 549300KM 6VUHPKQLQX53

8.17

11.18

5.91

53.73

0

FINANCIAL AND GENERAL LIMITED | 213800JU4R 8CIUQVUH22

7.47

0.06

22.22

33.33

0

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Professional

Execution

Equities – Shares & Depositary Receipts (T12)

01/01/2018

31/12/2018

N

Top five execution venues ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

CANACCORD GENUITY LIMITED | ZBU7VFV
5NIMN4ILRFC23

18.98

2.27

5.56

61.11

0

FINANCIAL AND GENERAL LIMITED | 213800JU4R
8CIUQVUH22

18.74

0.38

0

33.33

0

Peel Hunt LLP | 5493007DWN0R
4YBM4C84

10.47

14.29

8.85

48.67

0

ING Bank N.V. | 3TK20IVIUJ8J
3ZU0QE75

8.09

8.09

3.12

10.94

0

STOCKDALE SECURITIES LIMITED | 213800BK5V
89QKLV1L85

6.5

1.77

14.29

50

0

Placement/transmission

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Retail

Placement/transmission

Equities – Shares & Depositary Receipts (T12)

01/01/2018

31/12/2018

Y

Top five investment firms ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

UBS Switzerland AG | 549300WOIFUS
NYH0FL22

100

100

6.93

49.5

0

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Professional

Placement/transmission

Equities – Shares & Depositary Receipts (T12)

01/01/2018

31/12/2018

Y

Top five investment firms ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

UBS Switzerland AG | 549300WOIFUS
NYH0FL22

100

100

0

60

0

Tick size liquidity band 3 and 4 (from 80 to 1999 trades per day)

Execution

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Retail

Execution

Equities – Shares & Depositary Receipts (T34)

01/01/2018

31/12/2018

N

Top five execution venues ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

Peel Hunt LLP | 5493007DWN0R
4YBM4C84

21.43

24.07

2.09

51.45

0

NUMIS SECURITIES LIMITED | 213800P3F4RT9
7WDSX47

13.35

11.19

7.47

43.06

0

ING Bank N.V. | 3TK20IVIUJ8J
3ZU0QE75

12.22

6.83

20.39

65.4

0

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX
3PIG2R0745

10.84

19.87

1.79

63.64

0

CANACCORD GENUITY LIMITED | ZBU7VFV5NIMN
4ILRFC23

7.66

6.6

6.28

40.25

0

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Professional

Execution

Equities – Shares & Depositary Receipts (T34)

01/01/2018

31/12/2018

N

Top five execution venues ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

ING Bank N.V. | 3TK20IVIUJ8J
3ZU0QE75

21.73

8.56

16.13

61.29

0

Pershing Securities Limited | 549300NC3GU
RN0AEZU06

14.39

5.52

80

0

0

Peel Hunt LLP | 5493007DWN0
R4YBM4C84

12.64

23.76

4.65

53.49

0

NUMIS SECURITIES LIMITED | 213800P3F4R
T97WDSX47

10.54

11.33

4.88

48.78

0

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX3
PIG2R0745

6.81

11.88

0

65.12

0

Placement/transmission

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Retail

Placement/transmission

Equities – Shares & Depositary Receipts (T34)

01/01/2018

31/12/2018

N

Top five investment firms ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

UBS Switzerland AG | 549300WOIFU
SNYH0FL22

100

100

2.36

84.4

0

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Professional

Placement/transmission

Equities – Shares & Depositary Receipts (T34)

01/01/2018

31/12/2018

Y

Top five investment firms ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

UBS Switzerland AG | 549300WOIFUSN
YH0FL22

100

100

0

86.96

0

Tick size liquidity band 3 and 4 (from 2000 trades per day)

Execution

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Retail

Execution

Equities – Shares & Depositary Receipts (T56)

01/01/2018

31/12/2018

N

Top five execution venues ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

Peel Hunt LLP | 5493007DWN0R
4YBM4C84

31.62

28.35

5.52

46.14

0

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX3P
IG2R0745

12.95

36.71

3.34

61.58

0

ING Bank N.V. | 3TK20IVIUJ8J3Z
U0QE75

10.85

6.07

6.4

73.1

0

STIFEL NICOLAUS EUROPE LIMITED | 213800BVEFN
Z8UYPKL03

8.06

3.89

10.62

54.61

0

INSTINET EUROPE LIMITED | 213800MXAK
R2LA1VBM44

6.4

0.06

0

0

0

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Professional

Execution

Equities – Shares & Depositary Receipts (T56)

01/01/2018

31/12/2018

N

Top five execution venues ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

Peel Hunt LLP | 5493007DWN0R
4YBM4C84

34.97

29.2

7.5

54.17

0

STIFEL NICOLAUS EUROPE LIMITED | 213800BVEFNZ
8UYPKL03

22.6

6.57

22.22

66.67

0

ING Bank N.V. | 3TK20IVIUJ8J3Z
U0QE75

12.95

11.19

6.52

56.52

0

MACQUARIE CAPITAL (EUROPE) LIMITED | 549300GX4FPM
FF91RJ37

6.45

3.89

18.75

62.5

0

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX3PI
G2R0745

4.35

19.47

2.5

68.75

0

Placement/transmission

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Retail

Placement/transmission

Equities – Shares & Depositary Receipts (T56)

01/01/2018

31/12/2018

N

Top five investment firms ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

UBS Switzerland AG | 549300WOIFUS
NYH0FL22

100

100

4.82

78.31

0

Client type

Interaction

Class of Instrument

Period start

Period end

Notification if <1 average trade per business day in the previous year

Professional

Placement/transmission

Equities – Shares & Depositary Receipts (T56)

01/01/2018

31/12/2018

N

Top five investment firms ranked in terms of trading volumes (descending order)

Proportion of volume traded as a percentage of total in that class

Proportion of orders executed as percentage of total in that class

Percentage of passive orders

Percentage of aggressive orders

Percentage of directed orders

UBS Switzerland AG | 549300WOIFUSN
YH0FL22

100

100

4.36

78.19

0