MiFID Top 5 Venues between 01/01/2019 and 31/12/2019 14/04/2020 – Page 1 of 29 Company Schroder & Co. Limited Execution partner type Venue MiFID client category Retail Class of instrument Currency derivatives – Swaps, forwards, and other currency derivatives Notification if <1 average trade per business day in the previous year N 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 Schroder & Co. Limited 100% 100% N/A N/A N/A Schroder & Co. Limited XZYM01I1402576QWNU05 100% 100% N/A N/A N/A
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MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 1 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Retail
Class of instrument Currency derivatives – Swaps, forwards, and other currency derivatives
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Limited 100% 100% N/A N/A N/A
Schroder & Co. Limited XZYM01I1402576QWNU05
100% 100% N/A N/A N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 2 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Retail
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity band 1 and 2 (from 0 to 79 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Exane Paris 969500UP76J52A9OXU27
52% 0.6% 50% 100% N/A
Swiss Blue Chip XVTX
45% 98% 47% 50% N/A
SIX Swiss Exchange XSWX
2.4% 1.1% N/A 100% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 3 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Retail
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity bands 3 and 4 (from 80 to 1999 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
SIX Swiss Exchange XSWX
99% 100% 42% 58% N/A
Exane Paris 969500UP76J52A9OXU27
0.7% 0.3% N/A 100% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 4 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Retail
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity bands 5 and 6 (from 2000 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Exane Paris 969500UP76J52A9OXU27
54% 8.8% 36% 100% N/A
Swiss Blue Chip XVTX
46% 91% 31% 67% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 5 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Retail
Class of instrument Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
SIX Swiss Exchange USD XSWX
55% 43% 1.6% 91% N/A
SIX Swiss Exchange EUR XSWX
33% 37% 22% 63% N/A
Exane Paris 969500UP76J52A9OXU27
8.1% 13% N/A 13% N/A
SIX Swiss Exchange XSWX
2.4% 4.0% N/A 92% N/A
SIX Swiss Exchange GBP XSWX
1.0% 1.2% N/A 100% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 6 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Retail
Class of instrument Other instruments
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
SIX Swiss Exchange XSWX
79% 80% N/A 100% N/A
SIX Swiss Exchange USD XSWX
21% 20% N/A 100% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 7 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Retail
Class of instrument Securitized Derivatives – Warrants and Certificate Derivatives
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Exane Paris 969500UP76J52A9OXU27
100% 100% N/A N/A N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 8 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Professional
Class of instrument Currency derivatives – Swaps, forwards, and other currency derivatives
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Limited 100% 100% N/A N/A N/A
Schroder & Co. Limited XZYM01I1402576QWNU05
100% 100% N/A N/A N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 9 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID client category Professional
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity band 1 and 2 (from 0 to 79 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Swiss Blue Chip XVTX
100% 100% 56% 44% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 10 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID Client category Professional
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity bands 3 and 4 (from 80 to 1999 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
SIX Swiss Exchange XSWX
100% 100% 33% 67% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 11 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID Client category Professional
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity bands 5 and 6 (from 2000 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Swiss Blue Chip XVTX
88% 98% 34% 61% N/A
Exane Paris 969500UP76J52A9OXU27
12% 2.0% 100% 100% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 12 of 29
Company Schroder & Co. Limited
Execution partner type Venue
MiFID Client category Professional
Class of instrument Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Exane Paris 969500UP76J52A9OXU27
84% 40% N/A N/A N/A
SIX Swiss Exchange USD XSWX
16% 60% N/A 100% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 13 of 29
Company Schroder & Co. Limited
Execution partner type Broker
MiFID client category Retail
Class of instrument Debt instruments – Bonds
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Oppenheimer Europe Ltd London 213800CH6IZ9J98PIS59 17% 1.3% N/A N/A N/A
HSBC Sec. London MP6I5ZYZBEU3UXPYFY54
14% 14% N/A N/A N/A
BNP Paribas SA Paris R0MUWSFPU8MPRO8K5P83
12% 21% N/A N/A N/A
UBS AG London 10% 12% N/A N/A N/A
Royal Bank of Scotland Plc London RR3QWICWWIPCS8A4S074
7.5% 10% N/A N/A N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 14 of 29
Company Schroder & Co. Limited
Execution partner type Broker
MiFID client category Retail
Class of instrument Debt instruments – Money markets instruments
Notification if <1 average trade per business day in the previous year
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
Schroder & Co. Bank AG 100% 100% N/A N/A N/A
Toronto Dominion London PT3QB789TSUIDF371261
95% 93% N/A N/A N/A
Danske Bank AS Copenhagen MAES062Z21O4RZ2U7M96
2.4% 3.6% N/A N/A N/A
HSBC Sec. London MP6I5ZYZBEU3UXPYFY54
1.8% 2.8% N/A N/A N/A
Bridport & Cie SA 213800VGFKO4K5IJUI20
0.5% 0.4% N/A N/A N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 15 of 29
Company Schroder & Co. Limited
Execution partner type Broker
MiFID client category Retail
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity band 1 and 2 (from 0 to 79 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A 0.6%
Pictet Canada LP Montreal 549300ZW5W660U16FP37
58% 12% 6.1% 18% N/A
Canaccord Ltd London ZBU7VFV5NIMN4ILRFC23
7.5% 10% 87% 17% 0.1%
Macquarie Bank Ltd 549300GX4FPMFF91RJ37
5.9% 3.5% 0.8% 1.6% N/A
Jefferies Int.Ltd London S5THZMDUJCTQZBTRVI98
4.2% 0.4% N/A N/A 0.4%
Numis Securities Ltd 213800P3F4RT97WDSX47
3.0% 9.0% N/A N/A 0.1%
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 16 of 29
Company Schroder & Co. Limited
Execution partner type Broker
MiFID client category Retail
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity bands 3 and 4 (from 80 to 1999 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A 0.5%
Pictet Canada LP Montreal 549300ZW5W660U16FP37
53% 35% 5.3% 17% N/A
Canaccord Ltd London ZBU7VFV5NIMN4ILRFC23
12% 25% 81% 26% 0.0%
Exane Paris 969500UP76J52A9OXU27
5.9% 7.0% 21% 89% N/A
Jefferies Int.Ltd London S5THZMDUJCTQZBTRVI98
4.4% 1.8% N/A N/A 0.4%
Numis Securities Ltd 213800P3F4RT97WDSX47
4.2% 2.5% N/A N/A 0.0%
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 17 of 29
Company Schroder & Co. Limited
Execution partner type Broker
MiFID client category Retail
Class of instrument Equities – Shares & Depositary Receipts – Tick size liquidity bands 5 and 6 (from 2000 trades per day)
Notification if <1 average trade per business day in the previous year
N
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
Schroder & Co. Bank AG 100% 100% N/A N/A 0.0%
Exane Paris 969500UP76J52A9OXU27
79% 66% 24% 89% N/A
Canaccord Ltd London ZBU7VFV5NIMN4ILRFC23
13% 29% 61% 80% N/A
BTIG Ltd London 213800YZXS7U4QZP6441
3.0% 0.8% N/A N/A N/A
JPMorgan Sec. London K6Q0W1PS1L1O4IQL9C32
1.6% 1.1% N/A N/A N/A
Pictet Canada LP Montreal 549300ZW5W660U16FP37 1.1% 0.6% 10% 25% N/A
MiFID Top 5 Venues between 01/01/2019 and 31/12/2019
14/04/2020 – Page 18 of 29
Company Schroder & Co. Limited
Execution partner type Broker
MiFID client category Retail
Class of instrument Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities)
Notification if <1 average trade per business day in the previous year
N
Top five execution venues ranked in terms of trading volumes (descending order)
