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Dataset in support of the thesis 'The practical consequences of the transformation of the UK fixed income, currency, and commodity markets (“FICC”) into algorithmic realms for the management of conduct risk'

Dataset in support of the thesis 'The practical consequences of the transformation of the UK fixed income, currency, and commodity markets (“FICC”) into algorithmic realms for the management of conduct risk'
Dataset in support of the thesis 'The practical consequences of the transformation of the UK fixed income, currency, and commodity markets (“FICC”) into algorithmic realms for the management of conduct risk'
Data type: interview transcripts. Associated publications: CULLEY, A. 2024. The practical consequences of the transformation of the UK fixed income, currency, and commodity markets (“FICC”) into algorithmic realms for the management of conduct risk. Doctoral thesis. CULLEY, A. 2021. Identifying and mitigating ‘conduct risk’ in algorithmic FICC trading. Journal of Financial Compliance, 4(3), 267-281. CULLEY, A. 2023b. Is employees' understanding of conduct risk aligned with values espoused in their employers' public statements? Journal of Financial Compliance, 7(1), 82-100. CULLEY, A. C. 2022. Does the deployment of algorithms combined with direct electronic access increase conduct risk? Evidence from the LME. Journal of Financial Regulation and Compliance, 31(2), 220-236. CULLEY, A. C. 2023c. Insights into UK investment firms’ efforts to comply with MiFID II RTS 6 that governs the conduct of algorithmic trading. Journal of Financial Regulation and Compliance, 31(5), 607-629.
Financial regulation, Conduct risk, Algorithmic trading, Commodities, Compliance
University of Southampton
Culley, Alexander Conrad
2f899523-c2b7-473c-8ab9-3128483e732e
Wolfe, Simon
9a2367fc-36cc-496a-bbd2-e7346bcbb19e
McGroarty, Frank
693a5396-8e01-4d68-8973-d74184c03072
Culley, Alexander Conrad
2f899523-c2b7-473c-8ab9-3128483e732e
Wolfe, Simon
9a2367fc-36cc-496a-bbd2-e7346bcbb19e
McGroarty, Frank
693a5396-8e01-4d68-8973-d74184c03072

Culley, Alexander Conrad (2024) Dataset in support of the thesis 'The practical consequences of the transformation of the UK fixed income, currency, and commodity markets (“FICC”) into algorithmic realms for the management of conduct risk'. University of Southampton doi:10.5258/SOTON/D3271 [Dataset]

Record type: Dataset

Abstract

Data type: interview transcripts. Associated publications: CULLEY, A. 2024. The practical consequences of the transformation of the UK fixed income, currency, and commodity markets (“FICC”) into algorithmic realms for the management of conduct risk. Doctoral thesis. CULLEY, A. 2021. Identifying and mitigating ‘conduct risk’ in algorithmic FICC trading. Journal of Financial Compliance, 4(3), 267-281. CULLEY, A. 2023b. Is employees' understanding of conduct risk aligned with values espoused in their employers' public statements? Journal of Financial Compliance, 7(1), 82-100. CULLEY, A. C. 2022. Does the deployment of algorithms combined with direct electronic access increase conduct risk? Evidence from the LME. Journal of Financial Regulation and Compliance, 31(2), 220-236. CULLEY, A. C. 2023c. Insights into UK investment firms’ efforts to comply with MiFID II RTS 6 that governs the conduct of algorithmic trading. Journal of Financial Regulation and Compliance, 31(5), 607-629.

Archive
Final_transcripts.zip - Dataset
Available under License Creative Commons Attribution.
Download (7MB)
Text
Information_letter_and_consent_form_for_participants.pdf - Dataset
Available under License Creative Commons Attribution.
Download (73kB)
Text
Thesis-readme.txt - Dataset
Available under License Creative Commons Attribution.
Download (2kB)

More information

Published date: 16 October 2024
Related URLs:
Keywords: Financial regulation, Conduct risk, Algorithmic trading, Commodities, Compliance
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Identifiers

Local EPrints ID: 494899
URI: http://eprints.soton.ac.uk/id/eprint/494899
DOI: doi:10.5258/SOTON/D3271
PURE UUID: e4a4e651-be7b-499d-b6fc-dbdfa87bb69f
ORCID for Alexander Conrad Culley: ORCID iD orcid.org/0000-0002-0560-9443
ORCID for Simon Wolfe: ORCID iD orcid.org/0000-0001-9815-9535
ORCID for Frank McGroarty: ORCID iD orcid.org/0000-0003-2962-0927

Catalogue record

Date deposited: 22 Oct 2024 16:37
Last modified: 24 Oct 2024 01:56

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Contributors

Creator: Alexander Conrad Culley ORCID iD
Research team head: Simon Wolfe ORCID iD
Research team head: Frank McGroarty ORCID iD

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