Flagship audit
Fintech Compliance Readiness Audit
A structured review of licensing readiness, control design, and policy alignment for payment firms, lenders, and wealth platforms preparing for regulator dialogue in Taiwan.
Who it is for
Founders, compliance officers, and finance leads at fintech entities seeking a clear view of gaps before examination or licence applications
What you receive
The outcome is a written findings report with severity ratings and a remediation sequence leadership can assign. We brief the closing session in plain language so boards and examination coordinators share one picture of residual risk.
Scope included
- Document inventory and control mapping against relevant TW supervisory expectations
- Walkthrough interviews with operations, finance, and customer-support leads
- Written findings report with severity ratings and remediation sequencing
- Closing briefing for leadership and optional follow-up clarification call
Outside this engagement
- Legal opinions or representation before regulators
- Ongoing outsourced compliance officer duties
- Software implementation or system configuration
How we work
- Scoping call to confirm products, licences held or sought, and examination timeline
- Evidence request list issued within three business days
- Fieldwork: interviews, sample testing, and policy cross-checks
- Draft findings shared for factual accuracy review
- Final report and remediation roadmap delivered
Duration & delivery
Timeline: 4–8 weeks, depending on entity size and product lines
Delivery: On-site workshops in Miaoli County with remote document review
Preparation: Gather current policies, organisational charts, recent incident logs, and any prior examination letters.
Constraints: We audit design and operating effectiveness of controls; we do not certify licence approval.
Fees
Fixed engagement fee quoted after scoping call. Use the contact form to share product lines and examination timing — we reply with a scoped estimate, not a catalogue price list.
Next step
Request an estimate with a short description of your products and examination window.