Exchange Traded Products

Exchange traded funds, exchange traded notes and exchange traded commodities

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

Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)

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

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX 3PIG2R0745

30.06

38.24

1.42

64.89

0

Peel Hunt LLP | 5493007DWN 0R4YBM4C84

28.9

20.35

1.43

67.83

0

STIFEL NICOLAUS EUROPE LIMITED|213800BVEFNZ8UYPKL03

21.95

18.93

1.54

67.62

0

INVESTEC BANK PLC|84S0VF8TSMH0T6D4K848

8.25

8.30

0

94.47

0

RIA CAPITAL MARKETS LIMITED|213800OZO2PQP43WCZ92

7.55

11.63

79.57

6.45

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

Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)

01/01/2019

31/12/2019

Y

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

57.37

32.20

0

52.63

0

STIFEL NICOLAUS EUROPE LIMITED|213800BVEFNZ8UYPKL03

16.07

11.86

0

71.43

0

WINTERFLOOD SECURITIES LIMITED|8BRUP6V1DX3PIG2R0745

12.77

38.98

0

73.91

0

ING Bank N.V.|3TK20IVIUJ8J3ZU0QE75

5.35

5.08

0

33.33

0

INVESTEC BANK PLC|84S0VF8TSMH0T6D4K848

4

5.08

0

100

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

Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)

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

0

43.15

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

Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)

01/01/2019

31/12/2017

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

0.78

16.08

0