Engagement
Regulatory Readiness Audit
A hands-on review of your licensing file, control evidence, and policy pack before you sit across from a supervisor or investor counsel.
Request this audit
Who this is for
Payment institutions, e-money issuers, lending platforms, and securities-related fintechs in Taiwan that need an independent view of readiness before a licensing submission, capital raise diligence pack, or on-site supervisory visit.
What is included
- Scoping interview with compliance and finance leads
- Document request list mapped to the relevant Taiwanese licensing path
- Sampling of customer onboarding files, transaction monitoring cases, and reconciliation packs
- Walkthrough of board minutes, risk committee papers, and incident logs
- Written findings memo with severity ratings and a remediation calendar
- Closing briefing for founders and the compliance officer
Outside this scope
- Legal opinions or representation before the Financial Supervisory Commission
- Continuous outsourced compliance officer duties
- Penetration testing or software code review
- Accounting attestation under ISA or TWSA standards
How the engagement runs
-
1
Scope and evidence map
We confirm the licensing category or diligence use case, then issue a tailored evidence list covering policies, registers, samples, and system extracts.
-
2
Fieldwork and interviews
Over two to four weeks we review files on-site or via secure share, interview control owners, and test whether stated procedures match day-to-day practice.
-
3
Findings and remediation plan
You receive a graded findings memo, a prioritised remediation calendar, and a briefing so leadership can assign owners before the next milestone.
Outcome: A clear picture of gaps versus the expectations of Taiwanese supervisors and diligence counsel, with owners and dates for each remediation item.
Schedule a scoping call