Warrants and Certificate Derivatives

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

Securitized Derivatives, Warrants and Certificate Derivatives

01/01/2018

31/12/2018

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

SG OPTION EUROPE | 969500FDN8G
43HMHZM83

96.97

90.91

15

80

0

UBS Switzerland AG | 549300WOIFUS
NYH0FL22

3.03

4.55

0

0

0

FINANCIAL AND GENERAL LIMITED | 213800JU4R8C
IUQVUH22

0

4.54

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

Securitized Derivatives, Warrants and Certificate Derivatives

01/01/2018

31/12/2018

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

NPLUS1 SINGER CAPITAL MARKETS LIMITED | 213800ITO7Q
MNQ9SFG53

100

100

0

0

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

Securitized Derivatives, Warrants and Certificate Derivatives

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

75

0

Other Securitized Derivatives

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

Securitized Derivatives, Other securitized derivatives

01/01/2018

31/12/2018

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

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX3
PIG2R0745

39.36

57.76

0

29.85

0

Investec Bank PLC | 84S0VF8TSMH0T
6D4K848

25.33

12.93

0

0

0

Peel Hunt LLP | 5493007DWN0R
4YBM4C84

16.22

6.9

0

50

0

STIFEL NICOLAUS EUROPE LIMITED | 213800BVEFN
Z8UYPKL03

9.98

5.17

0

66.67

0

NUMIS SECURITIES LIMITED | 213800P3F4RT
97WDSX47

3.45

1.73

0

50

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

Securitized Derivatives, Other securitized derivatives

01/01/2018

31/12/2018

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

WINTERFLOOD SECURITIES LIMITED | 8BRUP6V1DX
3PIG2R0745

46.44

50

0

0

0

STIFEL NICOLAUS EUROPE LIMITED | 213800BVEFN
Z8UYPKL03

33.3

25

0

100

0

NPLUS1 SINGER CAPITAL MARKETS LIMITED | 213800ITO7Q
MNQ9SFG53

20.26

25

0

0

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

Securitized Derivatives, Other securitized derivatives

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

50

0