Audit engagement
Regulatory Controls Audit
A structured review of how your licensed fintech maps policies, ownership, and day-to-day evidence to the control themes Taiwanese examiners and counterparties actually test.
Request this audit
Who this is for
Licensed payment institutions, remittance operators, digital lenders, and wealth platforms preparing for supervisory examination, investor diligence, or a board-level controls health check. Best suited when policies exist on paper but evidence trails, ownership, and exception handling still need proving.
What you receive
- A scoped control universe tied to your licence type and product flows — not a borrowed bank template
- Walkthroughs with operations, finance, and compliance staff who handle client money and customer journeys
- Sample testing of reconciliations, approval trails, incident logs, and outsourcing oversight
- A findings letter ranked by severity, with remediation owners and suggested sequencing
- An evidence index your counsel can reuse for examination packs
What is not included
Software implementation, legal opinions on licence applications, or ongoing internal-audit staffing. We can recommend specialists for those workstreams, but they sit outside this engagement.
How we work
- Scoping call — licence status, product map, examination or diligence deadline, and where records live.
- Planning memo — agreed control themes, sample sizes, interview list, and fieldwork window.
- Fieldwork — on-site or hybrid sessions in Taiwan, plus remote document review.
- Draft findings — management review meeting before the report is finalised.
- Final pack — signed report, evidence index, and a short board briefing if requested.
Duration and location
Most engagements run four to eight weeks from kickoff to final report, depending on product complexity and how quickly samples can be pulled. Delivery is bilingual-capable (EN working papers; Mandarin interviews on request) from our Taiwan base, with travel within the island included for standard scopes.
Preparation we ask of you
Designate a single engagement contact, prepare an org chart with control owners, and grant read access to policy registers, recent incident logs, and reconciliation packs for the agreed sample period.
Pricing basis
Quoted after scoping. Starting reference for a single-licence payments or remittance operator is NT$280,000. Multi-product groups, heavy outsourcing chains, or compressed examination windows adjust the fee. A deposit confirms the fieldwork calendar.
Next step
Request this audit with your licence type and target examination or diligence date. We reply within two business days with scoping questions.
Ready to scope this engagement?
Tell us your licence type, examination window, and where your control evidence currently lives. We reply within two business days.
Start an inquiry