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Breakdown of Legacy Kleinwort Benson Bank Limited

Retail Clients

Class of instrument Equities - Shares and Depositary Receipts (from 2000 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 class Proportion of orders executed as percentage of total in that class Percentage of passive orders Percentage of aggressive orders Percentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 67.56%

60.78% 100.00% 0.00% 0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited 16.23% 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 instrument Equities - Shares and Depositary Receipts (from 80 to 1999 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 class Proportion of orders executed as percentage of total in that class Percentage of passive orders Percentage of aggressive orders Percentage of directed orders
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 90.06% 84.25% 100.00% 0.00% 0.00%
213800P3F4RT97WDSX47 Numis Securities Limited 6.86% 2.07% 100.00% 0.00% 0.00%
8BRUP6V1DX3PIG2R0745 Winterflood Securities Limited 2.37% 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 PLC 0.17% 0.16% 100.00% 0.00% 0.00%



Class of instrument Equities - 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 class Proportion of orders executed as percentage of total in that class Percentage of passive orders Percentage of aggressive orders Percentage of directed orders
ZBU7VFV5NIMN4ILRFC23 Canaccord Genuity Limited 62.50% 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 Limited 5.29% 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 PLC 0.24% 0.20% 100.00% 0.00% 0.00%



Class of instrument Debt Instruments - Bonds
<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 class Proportion of orders executed as percentage of total in that class Percentage of passive orders Percentage of aggressive orders Percentage of directed orders
4PQUHN3JPFGFNF3BB653 - Morgan Stanley Securities Limited 25.90% 21.51% 100.00% 0.00% 0.00%
RR3QWICWWIPCS8A4S074 – Natwest Markets Plc 25.77% 28.59% 100.00% 0.00% 0.00%
7LTWFZYICNSX8D621K86 - Deutsche Bank AG (201) - London 20.15% 17.23% 100.00% 0.00% 0.00%
213800VGFKO4K5IJUI20 - Bridport et Cie S A 18.44% 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 instrument Structured Finance Instruments
<1 average trade per business day in previous year Yes
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
RR3QWICWWIPCS8A4S074 - Natwest Markets Plc 52.39% 18.18% 100.00% 0.00% 0.00%
7LTWFZYICNSX8D621K86 - Deutsche Bank AG (201) - London 36.67% 54.55% 100.00% 0.00% 0.00%
4PQUHN3JPFGFNF3BB653 - Morgan Stanley Securities Limited 10.93% 27.27% 100.00% 0.00% 0.00%



Class of instrument Securitized Derivatives - Warrants and certificate derivatives
<1 average trade per business day in previous year Yes
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
TPS0Q8GFSZF45ZZFL873 - Societe Generale Bank & Trust 100.00% 100.00% 100.00% 0.00% 0.00%



Class of instrument Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)
<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 class Proportion of orders executed as percentage of total in that class Percentage of passive orders Percentage of aggressive orders Percentage of directed orders
DL6FFRRLF74S01HE2M14 - Credit Suisse (249) - London 31.90% 0.27% 100.00% 0.00% 0.00%
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 30.40% 56.68% 100.00% 0.00% 0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited 27.63% 19.23% 100.00% 0.00% 0.00%
213800BD519H2YV9R748 - Winterflood Gilts Limited 9.74% 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 instrument Other Instruments
<1 average trade per business day in previous year Yes
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
TPS0Q8GFSZF45ZZFL873 - Societe Generale Bank & Trust 95.34% 82.98% 100.00% 0.00% 0.00%
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 3.21% 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 Limited 0.24% 8.51% 100.00% 0.00% 0.00%



Professional Clients

Class of instrument Equities - Shares and Depositary Receipts (from 2000 trades per day)
<1 average trade per business day in previous year Yes
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
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 82.11% 80.39% 100.00% 0.00% 0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited 11.84% 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 instrument Equities - Shares and Depositary Receipts (from 80 to 1999 trades per day)
<1 average trade per business day in previous year Yes
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
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 100.00% 100.00% 100.00% 0.00% 0.00%



Class of instrument Equities - Shares and Depositary Receipts (from 0 to 79 trades per day)
<1 average trade per business day in previous year Yes
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
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 94.70% 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 instrument Debt Instruments - Bonds
<1 average trade per business day in previous year Yes
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
7LTWFZYICNSX8D621K86 - Deutsche Bank AG (201) - London 100.00% 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 instrument Currency Derivative - Options and Futures admitted to trading on a trading venue
<1 average trade per business day in previous year Yes
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
549300KR3CB1AXT4LT74 - SG Kleinwort Hambros Bank Limited 100.00% 100.00% 100.00% 0.00% 0.00%

 

 

Class of instrument Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)
<1 average trade per business day in previous year Yes
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
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD) 100.00% 100.00% 100.00% 0.00% 0.00%

 

 

Class of instrument Other instruments
<1 average trade per business day in previous year Yes
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
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited 100.00% 100.00% 100.00% 0.00% 0.00%

 

Click here for MiFID II Execution Report 2017