Director - Risk, Compliance and Legal
Guy Sears leads the team of IMA policy advisers who consider the regulatory, operational and legal issues for asset managers and for funds. They look at the authorisation and operation of funds and the authorisation, supervision and obligations on management companies and investment managers. They also cover the capital market activities of asset managers, financial crime and wider systemic issues, as well as supporting the IMA’s regulatory affairs directors on external representation.
Guy is the IMA’s representative on the board of the Joint Money Laundering Steering Group and on the Banking Liaison Panel. Prior to joining the IMA, he served as Deputy Chief Executive of APCIMS; he has also served as a Board Director of a commodity derivative market maker on the London Metal Exchange; an officer of his local credit union; Consultant to the Jersey Financial Services Commission; Head of Market Conduct and Market Infrastructure at the FSA; and Solicitor on the Record for the SIB.
He has been published in the areas of financial markets and insolvency.
Guy has an M.A. (Cantab) and was an Entrance Exhibitioner in Natural Sciences at Jesus College, Cambridge. He is a non-practicing solicitor of the Supreme Court of England and Wales.