MiFID II Best Execution 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.

Top 5 Venue / Broker Report

2022

The Top 5 Venue/Broker report is for professional clients and non-securities financing transactions (SFT).

Investment Bank, UBS Europe SE

	Top 5 Report		UBS Europe SE
	UBS IB Qualitative Assessment		pdf

2021

UBS would like to notify Top 5 Venue / Broker report users that, given the very high volumes of data involved, there is a data quality issue in the reports and the data sets for Bonds may not be accurate in all cases. UBS is working to improve the quality of subsequent reports.

The Top 5 Venue/Broker report is for professional clients and non-securities financing transactions (SFT).

Investment Bank, UBS Europe SE

	Top 5 Report		UBS Europe SE
	UBS IB Qualitative Assessment		pdf

2020

The Top 5 Venue/Broker report is for professional clients and non-securities financing transactions (SFT).

Investment Bank, UBS AG, London

	Top 5 Report		UBS AG London		UBS Sec LLC
	UBS IB Qualitative Assessment		pdf

Investment Bank, UBS Europe SE

	Top 5 Report		UBS Europe SE
	UBS IB Qualitative Assessment		pdf

2019

UBS would like to notify Top 5 Venue / Broker report users that, given the very high volumes of data involved, there is a data quality issue in the reports and the data sets for Cash Equities may not be accurate in all cases. UBS is working to improve the quality of subsequent reports.

The Top 5 Venue/Broker report is for professional clients and non-securities financing transactions (SFT).

Investment Bank, UBS AG, London

	Top 5 Report		UBS AG London		UBS Sec LLC
	UBS IB Qualitative Assessment		pdf

Investment Bank, UBS Europe SE

	Top 5 Report		UBS Europe SE
	UBS IB Qualitative Assessment		pdf

2018

UBS would like to notify Top 5 Venue / Broker report users that, given the immaturity of the reporting process and the very high volumes of data involved, there is a data quality issue in the reports and the data sets for Cash Equities may not be accurate in all cases. UBS is working to improve the quality of subsequent reports.

The Top 5 Venue/Broker report is for professional clients and non-securities financing transactions (SFT).

Investment Bank, UBS AG, London

	Top 5 Report		UBS AG London		UBS Sec LLC
	UBS IB Qualitative Assessment		pdf

Investment Bank, UBS Europe SE

	Top 5 Report		UBS Europe SE
	UBS IB Qualitative Assessment		pdf

2017

Please note that the Top 5 Venue / Broker report for 2017 has been prepared by UBS on a best efforts basis utilising information pre-dating the introduction of MiFID II on 3^rd January 2018.

Investment Bank, UBS AG, London

	Top 5 Report		pdf		xml		xsd
	Qualitative Assessment		pdf

Investment Bank, UBS Limited

	Top 5 Report		pdf		xml		xsd
	Qualitative Assessment		pdf

Quality of Execution Report

UBS would like to notify Quality of Execution report users that, given the complexity of the reporting process and the very high volumes of data involved, there are a number of data quality issues in the reports. In particular the data sets for FX, Rates & Credit and Equity derivatives are not fully complete and certain data attributes may not be accurate in all cases (e.g. order / RFQ sizes for some bond products) or may have been omitted where they are potentially misleading (e.g. inconsistent timestamps) and certain data outages may have affected the completeness of the report. UBS is working to improve the quality of subsequent reports and advise report users speak to their usual Sales contacts if they wish to discuss the reports in more detail.

Q3 2021

Please note that our CSV files are tilde delimited.

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q3-21 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q3-21-T1		UBSL-UBSI-Q3-21-T2		UBSL-UBSI-Q3-21-T3		UBSL-UBSI-Q3-21-T4		UBSL-UBSI-Q3-21-T5		UBSL-UBSI-Q3-21-T6		UBSL-UBSI-Q3-21-T9

Q2 2021

Please note that our CSV files are tilde delimited.

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q2-21 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q2-21-T1		UBSL-UBSI-Q2-21-T2		UBSL-UBSI-Q2-21-T3		UBSL-UBSI-Q2-21-T4		UBSL-UBSI-Q2-21-T5		UBSL-UBSI-Q2-21-T6		UBSL-UBSI-Q2-21-T9

Q1 2021

Please note that our CSV files are tilde delimited.

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q1-21 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q1-21-T1		UBSL-UBSI-Q1-21-T2		UBSL-UBSI-Q1-21-T3		UBSL-UBSI-Q1-21-T4		UBSL-UBSI-Q1-21-T5		UBSL-UBSI-Q1-21-T6		UBSL-UBSI-Q1-21-T9

Q4 2020

Please note that our CSV files are tilde delimited.

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q4-20 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q4-20-T1		UBSL-UBSI-Q4-20-T2		UBSL-UBSI-Q4-20-T3		UBSL-UBSI-Q4-20-T4		UBSL-UBSI-Q4-20-T5		UBSL-UBSI-Q4-20-T6		UBSL-UBSI-Q4-20-T9

Q3 2020

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q3-20 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q3-20-T1		UBSB-UBSY-Q3-20-T2		UBSB-UBSY-Q3-20-T3		UBSB-UBSY-Q3-20-T4		UBSB-UBSY-Q3-20-T5		UBSB-UBSY-Q3-20-T6		UBSB-UBSY-Q3-20-T9

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q3-20 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q3-20-T1		UBSL-UBSI-Q3-20-T2		UBSL-UBSI-Q3-20-T3		UBSL-UBSI-Q3-20-T4		UBSL-UBSI-Q3-20-T5		UBSL-UBSI-Q3-20-T6		UBSL-UBSI-Q3-20-T9

Q2 2020

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q2-20 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q2-20-T1		UBSB-UBSY-Q2-20-T2		UBSB-UBSY-Q2-20-T3		UBSB-UBSY-Q2-20-T4		UBSB-UBSY-Q2-20-T5		UBSB-UBSY-Q2-20-T6		UBSB-UBSY-Q2-20-T9

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q2-20 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q2-20-T1		UBSL-UBSI-Q2-20-T2		UBSL-UBSI-Q2-20-T3		UBSL-UBSI-Q2-20-T4		UBSL-UBSI-Q2-20-T5		UBSL-UBSI-Q2-20-T6		UBSL-UBSI-Q2-20-T9

Q1 2020

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q1-20 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q1-20-T1		UBSB-UBSY-Q1-20-T2		UBSB-UBSY-Q1-20-T3		UBSB-UBSY-Q1-20-T4		UBSB-UBSY-Q1-20-T5		UBSB-UBSY-Q1-20-T6		UBSB-UBSY-Q1-20-T9

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q1-20 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q1-20-T1		UBSL-UBSI-Q1-20-T2		UBSL-UBSI-Q1-20-T3		UBSL-UBSI-Q1-20-T4		UBSL-UBSI-Q1-20-T5		UBSL-UBSI-Q1-20-T6		UBSL-UBSI-Q1-20-T9

Q4 2019

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q4-19 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q4-19-T1		UBSB-UBSY-Q4-19-T2		UBSB-UBSY-Q4-19-T3		UBSB-UBSY-Q4-19-T4		UBSB-UBSY-Q4-19-T5		UBSB-UBSY-Q4-19-T6		UBSB-UBSY-Q4-19-T9

Investment Bank, UBS Europe SE

	Quality of Execution Report (Cash Equities non-ETF's)								UBSL-UBSI-Q4-19 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q4-19-T1		UBSL-UBSI-Q4-19-T2		UBSL-UBSI-Q4-19-T3		UBSL-UBSI-Q4-19-T4		UBSL-UBSI-Q4-19-T5		UBSL-UBSI-Q4-19-T6		UBSL-UBSI-Q4-19-T9

Q3 2019

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q3-19 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q3-19-T1		UBSB-UBSY-Q3-19-T2		UBSB-UBSY-Q3-19-T3		UBSB-UBSY-Q3-19-T4		UBSB-UBSY-Q3-19-T5		UBSB-UBSY-Q3-19-T6		UBSB-UBSY-Q3-19-T9

Investment Bank, UBS Europe SE

	Quality of Execution Report (Others)		UBSL-UBSI-Q3-19-T1		UBSL-UBSI-Q3-19-T2		UBSL-UBSI-Q3-19-T3		UBSL-UBSI-Q3-19-T4		UBSL-UBSI-Q3-19-T5		UBSL-UBSI-Q3-19-T6		UBSL-UBSI-Q3-19-T9

Q2 2019

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q2-19 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q2-19-T1		UBSB-UBSY-Q2-19-T2		UBSB-UBSY-Q2-19-T3		UBSB-UBSY-Q2-19-T4		UBSB-UBSY-Q2-19-T5		UBSB-UBSY-Q2-19-T6		UBSB-UBSY-Q2-19-T9

Investment Bank, UBS Europe SE

	Quality of Execution Report (Others)		UBSL-UBSI-Q2-19-T1		UBSL-UBSI-Q2-19-T2		UBSL-UBSI-Q2-19-T3		UBSL-UBSI-Q2-19-T4		UBSL-UBSI-Q2-19-T5		UBSL-UBSI-Q2-19-T6		UBSL-UBSI-Q2-19-T9

Q1 2019

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q1-19 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q1-19-T1		UBSB-UBSY-Q1-19-T2		UBSB-UBSY-Q1-19-T3		UBSB-UBSY-Q1-19-T4		UBSB-UBSY-Q1-19-T5		UBSB-UBSY-Q1-19-T6		UBSB-UBSY-Q1-19-T9

Investment Bank, UBS Europe SE

On 1^stMarch 2019 UBS Limited merged into UBS Europe SE and, accordingly, ceased to exist as a separate legal entity.

	Quality of Execution Report (Others)		UBSL-UBSI-Q1-19-T1		UBSL-UBSI-Q1-19-T2		UBSL-UBSI-Q1-19-T3		UBSL-UBSI-Q1-19-T4		UBSL-UBSI-Q1-19-T5		UBSL-UBSI-Q1-19-T6		UBSL-UBSI-Q1-19-T9

Q4 2018

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report (Cash Equities non-ETF's)								UBSB-UBSY-Q4-18 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSB-UBSY-Q4-18-T1		UBSB-UBSY-Q4-18-T2		UBSB-UBSY-Q4-18-T3		UBSB-UBSY-Q4-18-T4		UBSB-UBSY-Q4-18-T5		UBSB-UBSY-Q4-18-T6		UBSB-UBSY-Q4-18-T9

Investment Bank, UBS Limited

	Quality of Execution Report (Cash Equities non-ETF's)		UBSL-UBSI-Q4-18 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q4-18

Q3 2018

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report		UBSB-UBSY-Q3-18

Investment Bank, UBS Limited

	Quality of Execution Report (Cash Equities non-ETF's)		UBSL-UBSI-Q3-18 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q3-18

Q2 2018

Please note that our CSV files are tilde delimited.

Investment Bank, UBS AG, London

	Quality of Execution Report		UBSB-UBSY-Q2-18

Investment Bank, UBS Limited

	Quality of Execution Report (Cash Equities non-ETF's)		UBSL-UBSI-Q2-18 (CEQ non ETF)
	Quality of Execution Report (Others)		UBSL-UBSI-Q2-18

Q1 2018

Investment Bank, UBS AG, London

	Quality of Execution Report		UBSB-Jan18		UBSY-Jan18		UBSB-Feb18		UBSY-Feb18		UBSB-Mar18		UBSY-Mar18

Investment Bank, UBS Limited

	Quality of Execution Report		UBSL-UBSI-Q1-18

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