Richard L. Heffner Jr


Richard L. Heffner Jr

Of Counsel

London | 160 Queen Victoria Street, London, UK EC4V 4QQ
+44 20 7184 7665 | +44 20 7184 7001


Richard Heffner, an English solicitor and U.S. qualified lawyer, advises on UK and U.S. financial services law, drawing on experience gained in-house, in private practice and with UK and U.S. regulators.

Mr. Heffner's in-house experience includes service as general counsel and compliance officer to a leading energy broker and alternative trading systems operator, and as head of compliance and enforcement at a start-up commodities clearing house.

He also served as enforcement counsel and legal team leader at the Financial Services Authority (now the Financial Conduct Authority) and one of its predecessors the Personal Investment Authority, where he handled a wide range of matters involving product providers and financial advisers.

His U.S. experience includes more than five years in private practice concentrating in securities and commodities litigation and arbitration and internships with the Enforcement Division of the U.S. Securities and Exchange Commission.

Mr. Heffner is recommended in the areas of investment funds, retail funds and financial services regulation by The Legal 500 UK 2017-19 editions.

  • Duke University, B.A., 1982
  • Emory University School of Law, J.D., 1990
  • England and Wales
  • Georgia
Speaking Engagements
  • Brexit for Hedge Fund Managers - Four Months and Counting, Hedge Funds Nuts & Bolts - Webinar (December, 2018)
  • MiFID II In Focus: The Final Countdown - London (December, 2017)
  • Brexit for Hedge Fund Managers, Hedge Fund Nuts & Bolts - Webinar (July, 2017)
  • Setting up an AIFM or an EuVECA Manager in Luxembourg - London (May, 2017)
  • MiFID II in Focus: Best Execution - London (December, 2016)
  • Current and Future Developments: UCITS, AIFs, Brexit and Global Fund Distribution - New York (October, 2016)
  • Paying for Research Under MiFID II - London (September, 2016)
  • The New KID Requirements for AIFs - Planning for the PRIIPs Regulation - London (July, 2016)
  • 6th UCTIS Conference - London (May, 2016)
  • Regulatory Developments and Opportunities in Europe - New York (April, 2016)
  • The Impact of Brexit on the UK Financial Sector - London (March, 2016)