Email: A.C.Culley@soton.ac.uk
Identifying and mitigating conduct risk in financial institutions which deploy trading algorithms.
Alexander Culley is a Barrister of England and Wales (Call: 2010) and is a Fellow of the Chartered Institute for Securities & Investment. He has circa 18 years’ experience as a compliance professional and is the founder of C&G Regulatory Solutions Limited, a boutique regulation and compliance consultancy serving investment firms, payment institutions, trading venues, crypto asset providers and other market participants.
Prior to establishing C&G, Alex served as Chief Compliance Officer Europe, Middle East and Africa and Asia for a major investment firm and payment services institution active in the securities, foreign exchange and commodities markets. Before this, Alex acted as both Group Compliance Officer and a nonexecutive director at another large brokerage. An expert in practically implementing ‘big ticket’ regulations, he has extensive knowledge of the Markets in Financial Instruments Directive (MIFID II), the European Market Infrastructure Regulation (EMIR), the Consumer Duty, Senior Managers and Certification Regime (SMCR), the Revised Payment Services Directive (PSD II), the Fourth Money Laundering Directive (4MLD) and the Fifth Money Laundering Directive (5MLD).
Alex is a regular contributor to industry publications and conferences.