Author Archives: Richard Heller

About Richard Heller

Richard Heller is a partner at the New York City law firm of Thompson Hine LLP. His experience is in the formation of private offerings for hedge funds as well as the formation of registered broker-dealers and RIAs. In addition to his private practice, Richard has served three times on the Securities and Exchange Commission's Business Forum on Small Capital Formation. He has also authored and co-authored many resourceful books about Hedge Fund Law and hedge fund manager practices. Richard holds a law degree from Wake Forest University as well as a B.A. in American Studies from Rutgers. He serves on the Board of Directors for the Hedge Fund Association. For more information, please visit http://www.thompsonhine.com/lawyer/richardheller/.

A Summary Of Sound Practices For Hedge Fund Managers

Overview of “A Summary of Sound Practices for Hedge Fund Managers” which appeared in the Winter 2007-2008 issue of Financial Bridges magazine. View the entire article via the PDF. Overview The Managed Funds Association – a leading trade group for the hedge fund industry – recently released the fourth version of its highly regarded Sound Practices for Hedge Fund Managers […]

SEC Proposes Revisions to Regulation S-P and Expansion of Customer Privacy Requirements

On March 4, 2008, the Securities and Exchange Commission (SEC) announced proposed changes to Regulation S-P (“Reg S-P”), the regulation governing the privacy and protection of customer information. A copy of the proposing release is available on the SEC’s website at www.sec.gov/rules/proposed.shtml. If adopted as proposed, the changes, designed to enhance the protection of customers’ nonpublic personal information, will undoubtedly […]


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