Annual Best Execution Disclosure 2018 according to MiFID II RTS 28
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1 Annual Best Execution Disclosure 2018 according to MiFID II RTS 28 for retail clients Equities Shares & Depositary Receipts SIX Swiss Exchange (XSWX) 62.11% 67.39% 60.41% 39.59% SIX Swiss Exchange ' Blue Chips Segment (XVTX) 18.39% 16.64% 35.34% 64.66% Xetra (XETR) 11.45% 10.69% 34.22% 65.78% NASDAQ (XNAS) 2.03% 1.46% 54.42% 45.58% Euronext Amsterdam (XAMS) 1.50% 0.37% 25.00% 75.00% 1/16
2 Zurcher Kantonalbank Securi' ties Exchange (ZKBX) Debt instruments 82.77% 24.92% 0.00% % SIX Swiss Exchange (XSWX) 12.41% 53.45% 89.89% 10.11% XTR Xtrakter (XCOR) 3.84% 15.62% 38.46% 61.54% Deutsche Boerse (XFRA) 0.60% 2.40% 0.00% % Boerse Stuttgart (XSTU) 0.37% 3.60% 0.00% % 2/16
3 UBS Investment Bank, Commodities and Forex (UBSF) Currency derivatives Yes % % 9.38% 90.63% 3/16
4 Structured finance instruments Bank Vontobel (VONT) 40.13% 9.46% 60.00% 40.00% SIX Swiss Exchange, Struc' tured Products (XQMH) Bank J. Safra Sarasin AG ( LFIYZKT5TJ445) 26.64% 50.35% 52.58% 47.42% 12.63% 7.57% % 0.00% Xetra (XETR) 6.82% 2.36% 20.00% 80.00% Exane BNP Paribas (EXEU) 8.65% 17.70% 11.06% 88.94% 4/16
5 Equity derivatives Yes DIB (XDVA) % % 83.33% 16.67% 5/16
6 Securitized derivatives SIX Swiss Exchange (XSWX) 94.22% 85.86% 13.13% 86.87% Credit Suisse (CSZH) 4.47% 1.55% 0.00% % UBS Investment Bank, Commodities and Forex (UBSF)) 1.01% 7.07% 9.38% 90.63% Xetra (XETR) 0.18% 4.42% % 0.00% Banque Cantonale Vaudoise (K1MOBB3OPSBBQO554R76) 0.12% 0.22% 0.00% % 6/16
7 UBS Investment Bank, Commodities and Forex (UBSF) Commodities derivatives and emission allowances derivatives Yes % % 7/16
8 Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities) SIX Swiss Exchange (XSWX) 89.11% 97.72% 57.57% 42.43% Banque Cantonale Vaudoise (K1MOBB3OPSBBQO554R76) Bank J. Safra Sarasin ( LFIYZKT5TJ445) 7.33% 1.60% 17.62% 82.38% 2.09% 0.36% 25.22% 74.78% Credit Suisse (CSZH) 1.46% 0.32% 75.42% 24.58% 8/16
9 for professional clients SIX Swiss Exchange ' Blue Chips Segment (XVTX) Equities Shares & Depositary Receipts 31.86% 33.43% 42.70% 57.30% SIX Swiss Exchange (XSWX) 30.21% 26.41% 33.20% 66.80% Xetra (XETR) 11.11% 14.68% 36.48% 63.52% NASDAQ (XNAS) 8.79% 5.23% 40.61% 59.39% NYSE Euronext (XNYS) 4.49% 4.05% 42.83% 57.17% 9/16
10 Debt instruments XTR Xtrakter (XCOR) 40.85% 36.76% 27.08% 72.92% SIX Swiss Exchange (XSWX) 33.80% 44.06% 79.74% 20.26% Zurcher Kantonalbank Securi' ties Exchange (ZKBX) 17.60% 9.95% 0.00% % Boerse Stuttgart (XSTU) 6.49% 5.20% 74.50% 25.50% Deutsche Boerse (XFRA) 0.78% 2.44% % 46.32% 10/16
11 UBS Investment Bank, Commodities and Forex (UBSF) Currency derivatives % % 7.61% 92.39% 11/16
12 SIX Swiss Exchange, Struc' tured Products (XQMHI) Structured finance instruments 28.65% 51.42% 38.41% 61.59% Bank Vontobel (VONT) 25.87% 11.53% 18.54% 81.46% Leonteq Securities AG (ML61HP3A4MKTTA1ZB671) 22.27% 2.78% 46.51% 53.49% Xetra (XETR) 6.08% 2.49% 14.29% 85.71% London Stock Exchange SETS (XLON) 5.32% 14.12% 62.84% 37.16% 12/16
13 Equity derivatives Eurex Deutschland (XEUR) 83.42% 92.30% 61.00% 39.00% Options Pricing Regulatory Authority (OPRA) UBS Investment Bank, Commodities and Forex (UBSF) London Int.Fin.Futures (LIFFE) (IFLOI) Chicago Mercantile Exchange (XCME) 16.19% 6.20% 54.95% 45.05% 0.21% 0.06% % 0.00% 0.18% 0.43% 42.86% 57.14% 0.00% 1.01% 54.55% 45.45% 13/16
14 Securitized derivatives SIX Swiss Exchange (XSWX) 54.44% 30.39% 82.27% 17.73% NYSE Euronext (XNYS) 11.33% 7.88% 0.00% % Leonteq Securities AG (ML61HP3A4MKTTA1ZB671) UBS Investment Bank, Commodities and Forex (UBSF) 8.74% 0.46% 57.14% 42.86% 8.74% 6.04% 7.61% 92.39% Xetra (XETR) 5.29% 45.47% 97.11% 2.89% 14/16
15 UBS Investment Bank, Commodities and Forex (UBSF) UBS Investment Bank, Funds and Bonds (UBSG) Commodities derivatives and emission allowances derivatives 98.39% 92.87% 78.18% 21.82% 0.64% 1.78% % 0.00% DIB (XDVA) 0.61% 1.78% % 0.00% Zurcher Kantonalbank Securi' ties Exchange (ZKBX) 0.36% 3.57% % 0.00% 15/16
16 Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities) SIX Swiss Exchange (XSWX) 68.10% 59.99% 56.56% 43.44% Banque Cantonale Vaudoise (K1MOBB3OPSBBQO554R76) Bank J. Safra Sarasin AG ( LFIYZKT5TJ445) 5.05% 2.68% 6.11% 93.89% 3.08% 0.56% 11.19% 88.81% NYSE Arca (ARCX) 2.96% 0.91% 38.91% 61.09% Xetra (XETR) 2.79% 9.20% 74.43% 25.57% 16/16
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