Richard L. Heffner Jr
Of Counsel | London
Richard L. Heffner Jr

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.

  • What's Happening in Financial Services Regulation: A UK-Focused Talk for Asset -Managers - Webinar (January 2022)
  • What’s Happening in Financial Services Regulation: A UK-Focused Talk for Asset Managers - Webinar (April 2021)
  • 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)