Flagship audit
Regulatory Compliance Audit
A structured review of licensing posture, customer due diligence, and consumer-protection controls for payment firms, lenders, and digital account providers preparing for Taiwanese and cross-border scrutiny.
Request an audit scoping call
Who it is for
Founders, compliance officers, and boards of licensed or pre-licensed fintech firms operating in or toward Taiwan.
Result
A written findings memorandum with ranked observations, evidence references, and a remediation sequence the board can approve.
Scope
Policy-to-practice testing across onboarding, transaction monitoring handoffs, complaint handling, safeguarding narratives, and disclosure packs presented to supervisors.
Included
- Kick-off scoping call and document request list
- Sample testing of customer files and exception logs
- Interviews with operations and compliance leads
- Draft findings workshop
- Final memorandum and remediation roadmap
Excluded
- Legal opinions or court representation
- Software implementation or system configuration
- Ongoing monitoring retainers unless separately agreed
Process
- Scope confirmation and conflict check
- Evidence intake and walkthroughs
- Independent sample testing
- Findings calibration with management
- Final report delivery
Preparation
Please gather current policies, recent internal audit notes, complaint registers, and the latest supervisory correspondence before day one.
Constraints
We do not audit our own prior advisory work. Material related-party conflicts are disclosed before acceptance.
Ready to scope this audit?
Tell us your licence type, sample window, and whether you need on-site days. We typically reply within two business days.
Request an audit scoping call