Flagship audit
Regulatory Controls Audit
An independent review of how a fintech firm records, segregates, and reports client funds against Taiwan and cross-border supervisory expectations.
Who it is for
Licensed payment institutions, e-money issuers, consumer lenders, and wallet operators preparing for examination or investor diligence.
Result you receive
A signed assurance memorandum, finding register ranked by residual risk, and a remediation sequence your compliance and finance leads can execute without guesswork.
Delivery
Timeline: 4–8 weeks depending on product lines and ledger complexity
Location: Fieldwork available in Chiayi County and Taipei; remote evidence review for distributed teams
Preparation: Nominate a single engagement contact, grant read-only access to reconciliation packs, and reserve two hours with treasury and compliance owners.
Pricing basis: Fixed engagement fee after scoping interview
Included
- Walkthrough of fund flows from customer onboarding to settlement
- Sampling of reconciliations, suspense accounts, and safeguarding arrangements
- Mapping of control owners against board and management attestations
- Written management letter with evidence citations
- Closing workshop with compliance, finance, and operations leads
Not included
- Statutory financial statement audit under CPA standards
- Penetration testing or source-code review
- Drafting of new policies from a blank page
- Ongoing outsourced internal audit retainer (available separately)
Process
How the engagement runs
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Scoping interview
We confirm products in scope, supervisory licences held, and the examination window you are preparing for.
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Evidence request
A concise list of ledgers, policy packs, board minutes, and sample customer files is issued within three business days.
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Fieldwork
On-site or remote walkthroughs with control owners; sample testing against stated procedures.
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Findings & close
Draft findings for factual accuracy, then final memorandum and remediation timetable.