MiFID II Top 5 reports

The reports on this page relate to the MiFID II Best Execution reporting requirements as articulated in RTS 27 and RTS 28. Please contact your usual UBS Sales or Trading contact in the event of any questions.
Please note – the files may be large.

Please note that the Top 5 Venues / Brokers 2017 report (amended 6th July 2018) has been prepared by UBS on a best efforts basis utilising information pre-dating the introduction of MiFID II on 3rd Jan 2018.

Wealth Management, UBS AG, London Branch

Top 5 Venue Reports

2018

Class of Instrument

Class of Instrument

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Qualitative summary

Qualitative summary

Class of Instrument

(a) Equities – Shares & Depositary Receipts (i) Tick size liquidity bands 5 and 6 (from 2000 trades per day)

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CSV

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PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(a) Equities – Shares & Depositary Receipts (ii) Tick size liquidity bands 3 and 4 (from 80 to 1999 trades per day)

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CSV

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PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(a) Equities – Shares & Depositary Receipts (iii) Tick size liquidity band 1 and 2 (from 0 to 79 trades per day)

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CSV

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PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(b) Debt instruments - (i) Bonds

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CSV

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Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(b) Debt instruments - (ii) Money markets instruments

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Qualitative summary

-

Class of Instrument

(g) Equity Derivatives - (i) Options and Futures admitted to trading on a trading venue

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Qualitative summary

-

Class of Instrument

(h) Securitized Derivatives - (i) Warrants and Certificate Derivatives

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CSV

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PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

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

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CSV

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PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(m) Other instruments

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CSV

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PDFpdf

Qualitative summary

-

2017

Class of Instrument

Download CSV

Download PDF

Qualitative summary

(a) Equities – Shares & Depositary Receipts

CSV

PDF (PDF, 44 KB)

Qualitative Summary (PDF) (PDF, 169 KB)

(b) Debt instruments - (i) Bonds

CSV

PDF (PDF, 44 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

(e) Currency derivatives - (ii) Swaps, forwards, and other currency derivatives

CSV

PDF (PDF, 40 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

(h) Securitized Derivatives - (ii) Other securitized derivatives

CSV

PDF (PDF, 44 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

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

CSV

PDF (PDF, 44 KB)

Qualitative Summary (PDF) (PDF, 169 KB)
Top 5 Broker Reports

2018

Class of Instrument

Class of Instrument

Download CSV

Download CSV

Download PDF

Download PDF

Qualitative summary

Qualitative summary

Class of Instrument

(a) Equities – Shares & Depositary Receipts (i) Tick size liquidity bands 5 and 6 (from 2000 trades per day)

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(a) Equities – Shares & Depositary Receipts (ii) Tick size liquidity bands 3 and 4 (from 80 to 1999 trades per day)

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(a) Equities – Shares & Depositary Receipts (iii) Tick size liquidity band 1 and 2 (from 0 to 79 trades per day)

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(b) Debt instruments - (i) Bonds

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(b) Debt instruments - (ii) Money markets instruments

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(e) Currency derivatives - (ii) Swaps, forwards, and other currency derivatives

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CSV

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PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(f) Structured finance instruments

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CSV

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PDFpdf

Qualitative summary

-

Class of Instrument

(h) Securitized Derivatives - (i) Warrants and Certificate Derivatives

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CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

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

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(m) Other instruments

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

-

2017

Class of Instrument

Download CSV

Download PDF

Qualitative summary

(a) Equities – Shares & Depositary Receipts

CSV

PDF (PDF, 43 KB)

Qualitative Summary (PDF) (PDF, 169 KB)

(b) Debt instruments - (ii) Money markets instruments

CSV

PDF (PDF, 42 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

(b) Debt instruments - (i) Bonds

CSV

PDF (PDF, 41 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

(e) Currency derivatives - (ii) Swaps, forwards, and other currency derivatives

CSV

PDF (PDF, 40 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

(h) Securitized Derivatives - (ii) Other securitized derivatives

CSV

PDF (PDF, 41 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

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

CSV

PDF (PDF, 41 KB)

Qualitative Summary (PDF) (PDF, 169 KB)

(m) Other instruments

CSV

PDF (PDF, 41 KB)

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Wealth Management, UBS AG, Jersey Branch

Top 5 Venue Reports

2018

Class of Instrument

Class of Instrument

Download CSV

Download CSV

Download PDF

Download PDF

Qualitative summary

Qualitative summary

Class of Instrument

(e) Currency derivatives - (ii) Swaps, forwards, and other currency derivatives

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

2017

Class of Instrument

Download CSV

Download PDF

Qualitative summary

(e) Currency derivatives - (ii) Swaps, forwards, and other currency derivatives

CSV

PDF (PDF, 40 KB)

Qualitative Summary (PDF) (PDF, 168 KB)
Top 5 Broker Reports

2018

Class of Instrument

Class of Instrument

Download CSV

Download CSV

Download PDF

Download PDF

Qualitative summary

Qualitative summary

Class of Instrument

(a) Equities – Shares & Depositary Receipts (i) Tick size liquidity bands 5 and 6 (from 2000 trades per day)

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(a) Equities – Shares & Depositary Receipts (ii) Tick size liquidity bands 3 and 4 (from 80 to 1999 trades per day)

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(a) Equities – Shares & Depositary Receipts (iii) Tick size liquidity band 1 and 2 (from 0 to 79 trades per day)

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(b) Debt instruments - (i) Bonds

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(b) Debt instruments - (ii) Money markets instruments

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(f) Structured finance instruments

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

-

Class of Instrument

(h) Securitized Derivatives - (i) Warrants and Certificate Derivatives

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

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

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

Qualitative Summary (PDF)pdf

Class of Instrument

(m) Other instruments

Download CSV

CSV

Download PDF

PDFpdf

Qualitative summary

-

2017

Class of Instrument

Download CSV

Download PDF

Qualitative summary

(a) Equities – Shares & Depositary Receipts

CSV

PDF (PDF, 43 KB)

Qualitative Summary (PDF) (PDF, 169 KB)

(b) Debt instruments - (i) Bonds

CSV

PDF (PDF, 44 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

(h) Securitized Derivatives - (ii) Other securitized derivatives

CSV

PDF (PDF, 45 KB)

Qualitative Summary (PDF) (PDF, 168 KB)

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

CSV

PDF (PDF, 41 KB)

Qualitative Summary (PDF) (PDF, 169 KB)