Engagements
The path from scoping call to findings memorandum
Fintech audits here follow a deliberate sequence. This page shows how a regulatory compliance audit — and narrower reviews — move from first conversation to delivery.
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Conflict check & scoping
We confirm independence, licence type, and the question the board or supervisor is asking. You receive a draft scope and document request list before fees are finalised.
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Evidence intake
Policies, sample frames, complaint registers, reconciliation packs, and prior internal notes land in a shared evidence room. Incomplete packs pause the clock until gaps are named.
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Walkthroughs & sampling
Associates walk processes with operations and compliance leads, then execute the agreed sample. On-site days from Chiayi are scheduled when stamp logs or desk observation matter.
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Draft findings workshop
Management sees observations before the board does. Factual corrections are welcome; disagreements on severity are recorded transparently in the final letter.
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Final memorandum
Ranked findings, evidence references, and a remediation sequence. Optional committee briefing available for safeguarding and capital assessments.
Which engagement fits
Full regulatory compliance audits suit teams facing a broad supervisory conversation. Payment operations reviews suit settlement noise. Safeguarding assessments suit board packs that need bank evidence matched to segregation claims. Pre-licensing readiness suits founders still assembling the filing.
Browse audit engagements Request a scoping call