!css

Breakdown of Legacy Kleinwort Benson Bank Limited (2019)

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
213800P3F4RT97WDSX47 - Numis Securities Limited (610)    46.43%27.26%N/AN/A0.00%
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited37.37%38.46%N/AN/A0.00%

8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited

14.31%31.79%N/AN/A0.00%

TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)

1.89%2.49%N/AN/A0.00%
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 Limited          67.42%39.92%N/AN/A0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)     25.51%19.75%N/AN/A0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited     3.75%15.30%N/AN/A0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD) 2.82%24.27%N/AN/A0.00%
5493005DT07G37F0OG50 - Dexion Capital PLC                 0.49%0.76%N/AN/A0.00%
Class of instrumentEquities - Shares and Depositary Receipts (from 0-79 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 Limited          82.55%41.65%N/AN/A0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD) 7.38%53.53%N/AN/A0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited     5.02%4.04%N/AN/A0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)     4.78%0.69%N/AN/A0.00%
5493005DT07G37F0OG50 - Dexion Capital PLC                 0.28%0.09%N/AN/A0.00%
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
7LTWFZYICNSX8D621K86 - Deutsche Bank AG (201) - London   50.96%24.13%N/AN/A0.00%
4PQUHN3JPFGFNF3BB653 - Morgan Stanley Securities Limited 18.77%8.51%N/AN/A0.00%
RR3QWICWWIPCS8A4S074 - The Royal Bank Of Scotland        10.19%35.07%N/AN/A0.00%
213800VGFKO4K5IJUI20 - Bridport et Cie S A9.45%12.67%N/AN/A0.00%
4PQUHN3JPFGFNF3BB653 - Morgan Stanley Securities Limited 9.52%14.06%N/AN/A0.00%

* Counterparties listed above are where the orders were placed but all were executed via Bloomberg

Class of instrumentSecuritized Derivatives - Other securitized 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%100%N/AN/A0
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
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited44.97%52.99%N/AN/A0.00%
DL6FFRRLF74S01HE2M14 - Credit Suisse (249) - London35.41%16.39%N/AN/A0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited    11.64%19.06%N/AN/A0.00%
213800BD519H2YV9R748 - Winterflood Securities Ltd Gilts  7.43%11.36%N/AN/A0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)0.55%0.20%N/AN/A0.00%

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 Limited         53.25%28.07%N/AN/A0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)    33.75%52.63%N/AN/A0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited    11.72%10.53%N/AN/A0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)1.28%8.77%N/AN/A0.00%
Class of instrumentEquities - Shares and Depsoitary Receipts (from 80 - 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 Limited         66.67%92.77%N/AN/A0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)31.37%4.69%N/AN/A0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)    1.96%2.53%N/AN/A0.00%
Class of instrumentEquities - Shares and Depsoitary Receipts (from 0 - 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 Limited         58.74%43.42%N/AN/A0.00%
213800P3F4RT97WDSX47 - Numis Securities Limited (610)    31.68%3.95%N/AN/A0.00%
TXDSU46SXBWIGJ8G8E98 - RBC Dominion Securities Inc (XRBD)9.59%52.63%N/AN/A0.00%
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
XKZZ2JZF41MRHTR1V493 - CITIGROUP GBL MRK LTD36.98%14.29%N/AN/A0.00%
784F5XWPLTWKTBV3E584 - GOLDMAN SACHS28.70%4.76%N/AN/A0.00%
213800VGFKO4K5IJUI20 - Bridport et Cie S A12.69%38.10%N/AN/A0.00%
851WYGNLUQLFZBSYGB56 - COMMERZBANK AG FRANKFURT12.33%4.76%N/AN/A0.00%
4PQUHN3JPFGFNF3BB653 - Morgan Stanley Securities Limited 7.15%28.57%N/AN/A0.00%

*Counterparties listed above as where the orders were placed but all were executed via Bloomberg.

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
DL6FFRRLF74S01HE2M14 - Credit Suisse (249) - London      52.24%54.55%N/AN/A0.00%
ZBU7VFV5NIMN4ILRFC23 - Canaccord Genuity Limited47.38%36.36%N/AN/A0.00%
8BRUP6V1DX3PIG2R0745 - Winterflood Securities Limited0.38%9.09%N/AN/A0.00%