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)

01/01/2019

31/12/2019

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|5493007DWN0R4YBM4C84

23.17

17.14

2.98

51.66

0

WINTERFLOOD SECURITIES LIMITED|8BRUP6V1DX3PIG2R0745

16.05

22.09

3.88

55.97

0

CANTOR FITZGERALD EUROPE|549300KM6VUHPKQLQX53

6.75

8.10

5.37

55.21

0

NUMIS SECURITIES LIMITED|213800P3F4RT97WDSX47

6.50

6.10

9.09

41.63

0

CANACCORD GENUITY LIMITED|ZBU7VFV5NIMN4ILRFC23

6.35

2.29

5.22

50.55

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

01/01/2019

31/12/2019

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

NPLUS1 SINGER CAPITAL MARKETS LIMITED|213800ITO7QMNQ9SFG53

12.41

11.36

9.80

43.14

0

INVESTEC BANK PLC|84S0VF8TSMH0T6D4K848

9.83

1.26

17.65

52.94

0

PEEL HUNT LLP|5493007DWN0R4YBM4C84

8.51

13.59

4.92

59.56

0

RIA CAPITAL MARKETS LIMITED|213800OZO2PQP43WCZ92

8.26

5.05

60.29

25

0

WINTERFLOOD SECURITIES LIMITED|8BRUP6V1DX3PIG2R0745

7.64

16.48

4.95

53.15

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

01/01/2019

31/12/2019

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|549300WOIFUSNYH0FL22

100

100

4.4

76.14

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

01/01/2019

31/12/2019

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

SOCIETE GENERALE INTERNATIONAL LIMITED|0IKLU6X1B10WK7X42C15

56.57

4.32

0

0

0

Nomura International PLC|DGQCSV2PHVF7I2743539

34.2

1.44

0

50

0

UBS Switzerland AG|549300WOIFUSNYH0FL22

9.23

94.24

9.16

80.15

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)

01/01/2019

31/12/2019

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|5493007DWN0R4YBM4C84

26.27

31.24

2.35

44.54

0

STIFEL NICOLAUS EUROPE LIMITED|213800BVEFNZ8UYPKL03

12.19

7.06

4.24

68.28

0

WINTERFLOOD SECURITIES LIMITED|8BRUP6V1DX3PIG2R0745

11.24

20.73

2.58

52.41

0

NUMIS SECURITIES LIMITED|213800P3F4RT97WDSX47

10.29

8.16

6.72

39.56

0

INVESTEC BANK PLC|84S0VF8TSMH0T6D4K848

6.11

5.03

3.12

46.24

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)

01/01/2019

31/12/2019

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

STIFEL NICOLAUS EUROPE LIMITED|213800BVEFNZ8UYPKL03

24.88

14.29

10

70

0

RIA CAPITAL MARKETS LIMITED|213800OZO2PQP43WCZ92

14.21

6.19

57.69

11.54

0

NUMIS SECURITIES LIMITED|213800P3F4RT97WDSX47

11.41

8.09

8.82

32.35

0

PEEL HUNT LLP|5493007DWN0R4YBM4C84

11.14

24.05

0.99

53.47

0

WINTERFLOOD SECURITIES LIMITED|8BRUP6V1DX3PIG2R0745

8.56

14.05

1.69

54.24

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)

01/01/2019

31/12/2019

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|549300WOIFUSNYH0FL22

98.93

99.80

1.59

91.84

0

All Options International B.V.|724500J8YXYEHP7PEQ12

1.07

0.20

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

Placement/transmission

Equities – Shares & Depositary Receipts (T34)

01/01/2019

31/12/2019

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|549300WOIFUSNYH0FL22

100

100

3.16

88.93

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)

01/01/2019

31/12/2019

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

STIFEL NICOLAUS EUROPE LIMITED|213800BVEFNZ8UYPKL03

34.09

11.64

14.61

66.31

0

PEEL HUNT LLP|5493007DWN0R4YBM4C84

23.97

28.17

5.58

47.88

0

WINTERFLOOD SECURITIES LIMITED|8BRUP6V1DX3PIG2R0745

15.34

38.72

5.43

35.26

0

ING Bank N.V.|3TK20IVIUJ8J3ZU0QE75

6.29

2.81

5.38

79.28

0

JEFFERIES INTERNATIONAL LIMITED|S5THZMDUJCTQZBTRVI98

6.25

3.54

5.38

66.3

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)

01/01/2019

31/12/2019

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

STIFEL NICOLAUS EUROPE LIMITED|213800BVEFNZ8UYPKL03

33.18

22.35

13.16

76.32

0

JEFFERIES INTERNATIONAL LIMITED|S5THZMDUJCTQZBTRVI98

21.38

7.06

0

91.67

0

PEEL HUNT LLP|5493007DWN0R4YBM4C84

13.36

27.35

6.45

50.54

0

RIA CAPITAL MARKETS LIMITED|213800OZO2PQP43WCZ92

10.20

4.12

71.43

14.29

0

ING Bank N.V.|3TK20IVIUJ8J3ZU0QE75

8.83

8.24

10.71

85.71

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)

01/01/2019

31/12/2019

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|549300WOIFUSNYH0FL22

100

100

2.94

85.33

0

Client type

Interaction

Class of Instrument

Period start

Period end

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

Professional

Placement/transmission

Equities – Shares & Depositary Receipts (T56)

01/01/2019

31/12/2019

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|549300WOIFUSNYH0FL22

100

100

4.35

86

0