Transaction Monitoring Controls Review
We sample alerts, re-perform rule logic against known scenarios, and assess whether case notes would stand up in a supervisory file review.
Engagement detailFlowing Data Connect
Fintech audits grounded in Taiwanese supervisory practice
We review licensing files, customer due diligence samples, monitoring rules, and investor controls packs — then hand leadership a graded findings memo with owners and dates.
Fieldwork for payment and lending firms preparing for licensing and diligence in Taiwan
Flagship engagement
Regulatory readiness audit
For institutions approaching a licensing milestone, capital raise diligence, or supervisory visit. We map evidence to the relevant Taiwanese path, sample live files, and leave a remediation calendar your board can track.
How we work
Evidence first, then interviews
We begin with the artefacts supervisors and counsel actually request — policies with effective dates, alert extracts, board packs, and reconciliation samples. Interviews test whether practice matches paper, not the other way around.
Findings arrive with severity grades and a calendar. We do not sell software, host monitoring engines, or replace your compliance officer.
Read the full methodology →Related engagements
Audits that sit beside readiness work
When the file needs depth in one control family, these focused reviews stand alone or follow a readiness engagement.
Customer Due Diligence File Audit
A structured sample of onboarding and refresh files to check identity evidence, risk rating rationale, and beneficial ownership trails.
Engagement detail
Investor Diligence Controls Pack
We help assemble and stress-test the controls narrative investors ask for — policies, metrics, incidents, and remediation evidence — without dressing it up as marketing.
Engagement detailFrom the field
What clients say after fieldwork
“The readiness memo forced us to date every open AML finding before our counsel opened the data room. That alone saved a week of awkward emails.”Compliance lead, licensed payment institution — Taipei
“Their CDD sample was tougher on our SME files than I expected. The coaching session afterward was more useful than the scorecard.”Head of onboarding, consumer lending fintech — Kaohsiung
Scoping calls run about forty-five minutes
Tell us the licensing path or diligence deadline. We reply within two business days with a proposed evidence list and fee range.