Audit offering
Fintech Compliance & Controls Audit
A structured review of regulatory mapping, control design, and operating evidence for payment, lending, and digital finance firms preparing for scrutiny in Taiwan.
Who this audit serves
Founders, compliance leads, and finance officers at payment institutions, consumer lenders, remittance operators, and other fintech entities that need an independent view of how controls actually operate — not a checklist exercise.
What you receive
You leave with a prioritized findings memo, a control inventory tied to your product lines, sampled testing results, and a remediation roadmap your board or investor counsel can read without translation into jargon.
Scope in practice
We map your licensing and supervisory obligations against how money moves, how customers are onboarded, how exceptions are handled, and how management monitors risk. Fieldwork includes document review, walkthroughs with operations staff, and sample testing of key controls. We do not rewrite your policies for you during this engagement unless separately scoped.
Included
- Kickoff scoping workshop with compliance and operations stakeholders
- Regulatory and product-line mapping for the in-scope business units
- Control design assessment and sample-based operating tests
- Written findings memo with severity ratings and remediation owners
- Closing briefing for management or the board subcommittee
Outside this engagement
- Statutory financial statement audit or tax filing work
- Penetration testing or source-code review
- Ongoing outsourced compliance officer services
- Legal opinions on licensing eligibility
How the work unfolds
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1
Scoping & engagement letter
We confirm product lines, regulatory touchpoints, and access constraints, then issue an engagement letter with fee, timeline, and confidentiality terms.
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2
Evidence intake & walkthroughs
Your team shares policies, procedures, and sample records. We walk through customer onboarding, payment flows, and exception handling with the people who run them day to day.
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3
Control testing
We select samples against agreed criteria, test operating effectiveness, and document gaps with supporting evidence.
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4
Findings & remediation path
Draft findings are reviewed with you for factual accuracy. The final memo ranks issues and outlines practical next steps for your internal owners.
Ready to scope this audit?
Share your product line, regulatory posture, and timing. We will confirm fit and outline fieldwork before any engagement letter.