Richard C Faulkner


KPMG in the UK

Richard is a partner in our audit practice. His areas of specialism are the treasury/trading activities of investment banks and the audits of listed financial institutions. He has extensive experience of non-audit engagements and has held senior leadership positions on some of the largest and most high profile non-audit engagements within KPMG’s Financial Services practice (including insolvencies, rights issues, transaction support, liquidity and risk reviews). Richard has considerable experience of UK regulation, including being a Skilled Person on a number of s166 reviews. He has also held senior leadership roles on reviews commissioned by other global regulators. He is one of the industry’s foremost experts in the application of the FCA’s Client Asset rules (CASS). He represents KPMG at the FRC’s CASS Working Group, regularly gives presentations at industry forums and is the leader on the firm’s interaction with the FCA in relation to CASS. Richard has considerable international experience, with a particular focus on working in the Emerging Markets. He has previously been seconded to KPMG’s New York financial services practice and recently completed a secondment at the Financial Services Authority, where he was responsible for the supervision of part of one of the UK’s highest impact regulatory firms.

Areas of expertise

Audi Banking Capital Markets Financial Services Trading platforms - ECN, Dark pools Treasury

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