Equities – Shares & Depositary Receipts

home Equities – Shares & Depositary Receipts 2018

Equity Bands

Tick size liquidity band 1 – 2

Tick size liquidity band 3 – 4

Tick size liquidity band 5 – 6

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