Flowing Data Connect

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.

Request this audit
Professional reviewing client paperwork in a bright office

Who this is for

Onboarding and compliance managers who need independent assurance before a licence application milestone or after a rapid customer growth period.

What is included

  • Agreed sampling method across retail, SME, and higher-risk cohorts
  • File-level scoring against your stated CDD standard
  • Themes on missing evidence, weak narratives, and overdue reviews
  • Coaching notes for analysts on common file deficiencies

Outside this scope

  • Screening list vendor selection or contract negotiation
  • Individual customer remediation without a separate engagement

How the engagement runs

  1. 1

    Sample design

    We agree cohort sizes and risk strata with your compliance lead so the sample reflects real exposure.

  2. 2

    File review

    Each selected file is scored against identity, verification, ownership, and rationale criteria.

  3. 3

    Theme report

    You receive aggregate findings, anonymised examples, and training points for the onboarding desk.

Duration

10–15 business days for a standard sample of 40–60 files.

Delivery

Secure remote review of file packs; optional floor walk with the onboarding team.

Preparation

Provide read-only access to the CDD archive and the current risk rating methodology.

Fees

From NT$120,000 depending on sample size and file complexity.

Outcome: A measured view of file quality and concrete coaching points before the next supervisory or investor review of onboarding controls.

Schedule a scoping call