Flagship engagement

Fintech Control Audit

A structured on-site and desk-based review of how a fintech firm documents, tests, and evidences its regulatory controls before examinations or partner diligence.

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Auditor reviewing financial documents at a wooden desk

Who it is for

Payment institutions, digital lenders, remittance operators, and neobank teams preparing for licensing reviews or investor diligence in Taiwan and the wider region.

Result

A written findings memo, prioritized remediation roadmap, and board-ready summary of control strength and residual risk.

Delivery & timeline

Duration: 3–6 weeks depending on product scope

Mode: Hybrid: desk review plus scheduled sessions in Taiwan or by secure remote interview when fieldwork travel is unnecessary.

Pricing basis: Fixed engagement fee after scoping

Included

  • Scoping workshop with compliance and product leads
  • Policy and procedure sampling across AML, KYC, complaints, and transaction monitoring
  • Control testing against stated procedures and sample customer files
  • Evidence pack review for examiner readiness
  • Findings workshop and remediation sequencing

Not included

  • Legal opinions on licensing eligibility
  • Ongoing outsourced compliance officer duties
  • Software implementation or system configuration

How the engagement moves

Scope

We map products, customer journeys, and the regulatory obligations in force for your license type.

Fieldwork

We sample files, walk through control ownership, and test whether stated procedures match daily practice.

Findings

We grade issues by severity, document evidence gaps, and agree remediation owners with your team.

Close-out

You receive a findings memo, remediation roadmap, and a concise briefing suitable for directors or investors.

Preparation

Share current policy manuals, recent management information packs, organizational charts for control ownership, and access to a sample of KYC and case files under your confidentiality terms.

We reply within two business days during Taiwan working hours.

Start with a scoping call

Constraints worth knowing

We work under your confidentiality terms and sample only what is necessary for the agreed scope. Legal opinions, representation before regulators, and day-to-day outsourced compliance officer duties sit outside these engagements.

If you need a sense of sequence before scoping, read how we audit.