Audit engagement
Regulatory Readiness Audit
A structured walkthrough of licensing readiness for payment institutions, e-money issuers, and lending firms preparing for FSC scrutiny in Taiwan.
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Who it is for
Founders, compliance officers, and boards of Taiwan-based fintech firms approaching a licence application, expansion, or regulatory inspection.
Result you receive
A written findings report with severity-ranked gaps, evidence references, and a sequenced remediation plan your team can execute before the next regulator touchpoint.
Scope
Policies, control design, sample transaction testing, staff interview notes, and a closing debrief with your compliance lead.
Included
- Kick-off scoping call and engagement letter
- Document request list tailored to your licence type
- On-site or remote fieldwork (five to twelve working days)
- Control testing sample across payments, AML, and consumer disclosures
- Draft findings for management comment
- Final report and remediation roadmap
Not included
- Legal opinions or court representation
- Ongoing outsourced compliance staffing
- Software implementation or vendor selection
How the engagement runs
- 1 Scoping and engagement letter
- 2 Document intake and planning memo
- 3 Fieldwork and interviews
- 4 Draft findings review
- 5 Final report and remediation workshop
Preparation
Assemble current policies, board minutes, AML training logs, and a sample of recent customer onboarding files before week one.
Constraints
We do not certify licences or guarantee regulator outcomes. Findings reflect the evidence available during the engagement window.