Engagement stages
From kick-off letter to remediation workshop
Audits for fintech at Platform Connects follow a visible sequence so compliance leads know when samples are pulled, when interviews land, and when draft findings arrive for comment.
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1. Scoping call
We confirm licence type, entities, products in and out of scope, and any fixed filing or inspection date. You receive a draft engagement letter and fee range—not a binding invoice yet.
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2. Document intake
A request list arrives in your vocabulary: policy titles, folder names, alert export formats. Week-zero intake covers policies and org charts; samples follow once the planning memo is locked.
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3. Fieldwork
Associates test samples; the lead runs interviews with process owners. On-site days in Taipei or Kaohsiung are scheduled when binders and people are easier to reach in person.
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4. Draft findings
You review severity, evidence references, and factual accuracy. Management comments are logged; we do not silently soften ratings without new evidence.
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5. Final report & workshop
The closing session sequences remediation against your headcount and calendar. Optional remediation progress reviews can retest items months later.
What we need from you
A single client coordinator, temporary read access to policy stores, and nominated interview participants. Surprises—white-label products, legacy fee tables—are normal; leave half a day in the plan to chase them.