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Breakdown of Legacy Kleinwort Benson Bank Limited

Retail Clients

Class of instrumentEquities - Shares and Depositary Receipts (from 2000 trades per day)
<1 average trade per business day in previous yearNo
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited67.56%

60.78%100.00%0.00%0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited16.23%27.03%100.00%0.00%0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)16.09%12.12%100.00%0.00%0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)0.12%0.07%100.00%0.00%0.00%



Class of instrumentEquities - Shares and Depositary Receipts (from 80 to 1999 trades per day)
<1 average trade per business day in previous yearNo
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited90.06%84.25%100.00%0.00%0.00%
213800P3F4RT97WDSX47 Numis Securities Limited6.86%2.07%100.00%0.00%0.00%
8BRUP6V1DX3PIG2R0745 Winterflood Securities Limited2.37%9.10%100.00%0.00%0.00%
TXDSU46SXBWIGJ8G8E98 RBC Dominion Securities Inc (XRBD)0.41%4.36%100.00%0.00%0.00%
5493005DT07G37F0OG50 - Dexion Capital PLC0.17%0.16%100.00%0.00%0.00%



Class of instrumentEquities - Shares and Depositary Receipts (from 0 to 79 trades per day)
<1 average trade per business day in previous year No
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
ZBU7VFV5NIMN4ILRFC23 Canaccord Genuity Limited62.50%44.42%100.00%0.00%0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)27.48%4.68%100.00%0.00%0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited5.29%2.37%100.00%0.00%0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)4.36%47.70%100.00%0.00%0.00%
5493005DT07G37F0OG50 - Dexion Capital PLC0.24%0.20%100.00%0.00%0.00%



Class of instrumentDebt Instruments - Bonds
<1 average trade per business day in previous yearNo
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
4PQUHN3JPFGFNF3BB653 - Morgan Stanley Securities Limited25.90%21.51%100.00%0.00%0.00%
RR3QWICWWIPCS8A4S074 – Natwest Markets Plc25.77%28.59%100.00%0.00%0.00%
7LTWFZYICNSX8D621K86 - Deutsche Bank AG (201) - London20.15%17.23%100.00%0.00%0.00%
213800VGFKO4K5IJUI20 - Bridport et Cie S A18.44%15.90%100.00%0.00%0.00%
X3CZP3CK64YBHON1LE12 - Natwest Markets N.V.3.74%9.69%100.00%0.00%0.00%

*Counterparties listed above are where the orders were placed but all were executed via Bloomberg Multilateral Trading
Facility - 549300ROEJDDAXM6LU05



Class of instrumentStructured Finance Instruments
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
RR3QWICWWIPCS8A4S074 - Natwest Markets Plc52.39%18.18%100.00%0.00%0.00%
7LTWFZYICNSX8D621K86 - Deutsche Bank AG (201) - London36.67%54.55%100.00%0.00%0.00%
4PQUHN3JPFGFNF3BB653 - Morgan Stanley Securities Limited10.93%27.27%100.00%0.00%0.00%



Class of instrumentSecuritized Derivatives - Warrants and certificate derivatives
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
TPS0Q8GFSZF45ZZFL873 - Societe Generale Bank & Trust100.00%100.00%100.00%0.00%0.00%



Class of instrumentExchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)
<1 average trade per business day in previous yearNo
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
DL6FFRRLF74S01HE2M14 - Credit Suisse (249) - London31.90%0.27%100.00%0.00%0.00%
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited30.40%56.68%100.00%0.00%0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited27.63%19.23%100.00%0.00%0.00%
213800BD519H2YV9R748 - Winterflood Gilts Limited9.74%23.22%100.00%0.00%0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)0.33%0.59%100.00%0.00%0.00%



Class of instrumentOther Instruments
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
TPS0Q8GFSZF45ZZFL873 - Societe Generale Bank & Trust95.34%82.98%100.00%0.00%0.00%
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited3.21%4.26%100.00%0.00%0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)1.21%4.26%100.00%0.00%0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited0.24%8.51%100.00%0.00%0.00%



Professional Clients

Class of instrumentEquities - Shares and Depositary Receipts (from 2000 trades per day)
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited82.11%80.39%100.00%0.00%0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited11.84%11.76%100.00%0.00%0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)6.05%7.84%100.00%0.00%0.00%



Class of instrumentEquities - Shares and Depositary Receipts (from 80 to 1999 trades per day)
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited100.00%100.00%100.00%0.00%0.00%



Class of instrumentEquities - Shares and Depositary Receipts (from 0 to 79 trades per day)
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited94.70%37.78%100.00%0.00%0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)5.30%62.22%100.00%0.00%0.00%

 

Class of instrumentDebt Instruments - Bonds
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
7LTWFZYICNSX8D621K86 - Deutsche Bank AG (201) - London100.00%100.00%100.00%0.00%0.00%

* Counterparties listed above are where the orders were placed but all were executed via Bloomberg Multilateral Trading
Facility - 549300ROEJDDAXM6LU05

 

Class of instrumentCurrency Derivative - Options and Futures admitted to trading on a trading venue
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
549300KR3CB1AXT4LT74 - SG Kleinwort Hambros Bank Limited100.00%100.00%100.00%0.00%0.00%

 

Class of instrumentExchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)100.00%100.00%100.00%0.00%0.00%

 

Class of instrumentOther instruments
<1 average trade per business day in previous yearYes
Top five execution venues ranked in terms of trading volumes (descending order)Proportion of volume traded as a percentage of total in that classProportion of orders executed as percentage of total in that classPercentage of passive ordersPercentage of aggressive ordersPercentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited100.00%100.00%100.00%0.00%0.00%

 

Click here for MiFID II Execution Report 2017