Engagement
Regulatory Readiness Audit
A structured review of policies, control evidence, and board reporting so payment, lending, and wealth firms can face licensing or renewal conversations with a clear remittance map.
Flagship engagement
Who this is for
Fintech operators in Taiwan preparing for a new licence filing, a renewal cycle, or an investor diligence window that will scrutinise AML controls, customer onboarding, and outsourcing arrangements.
Result you receive
A written findings pack with severity-ranked observations, evidence gaps, and a sequenced remittance plan your compliance lead can own — not a generic checklist.
Scope
We examine the control environment tied to your regulated activities — customer due diligence files, transaction monitoring thresholds, exception handling, outsourcing registers, and how issues escalate to the board. Interviews sit alongside document sampling; we do not rewrite your entire policy library.
Included
- Kick-off scoping call covering licence type and product lines
- Document request list tailored to your regulated perimeter
- Sampling of customer files, alert cases, and vendor contracts
- Working sessions with compliance, operations, and risk owners
- Draft findings workshop before the final pack is issued
- Final remittance roadmap with owners and suggested timelines
Not included
- Legal opinions or court representation
- Full rewrite of policies or procedure manuals
- Continuous monitoring after the engagement closes
- Certification seals or regulator-facing attestations we are not engaged to provide
This flagship engagement is the practice’s primary offer for fintech firms that need an independent view before a regulator meeting, a banking partner review, or a funding round that will ask hard questions about control maturity.
How the work unfolds
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1
Perimeter confirmation
We lock the licence types, legal entities, and product journeys in scope, then issue a document request that matches that perimeter.
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2
Fieldwork and sampling
Reviewers walk customer journeys, sample files, and test whether stated controls appear in day-to-day cases — not only in policy binders.
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3
Draft findings workshop
Severity ratings and remittance owners are discussed with your team before anything is finalised, so language stays fair and actionable.
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4
Final pack and handover
You receive the findings memo, remittance roadmap, and a short briefing for board or investor materials if requested.
Constraints to know upfront
We cannot begin sampling until the document room is populated. Material perimeter changes mid-engagement may require a revised estimate. Findings reflect the evidence available during the fieldwork window.
Ready to discuss scope?
Share your licence type, product lines, and the review window you need. We reply with a written estimate — not a sales script.
Write to the practice