Fintech Controls Audit

Who it is for

Licensed payment institutions, consumer lenders, and digital wallet operators preparing for supervisory review or investor diligence.

Result

A written findings report, control gap register, and remediation priority list that finance and compliance leads can take to the board.

Scope

Walkthroughs of key transaction paths, sampling of reconciliations and exception logs, interviews with process owners, and mapping of controls to stated policies.

Included

• Kick-off scoping workshop with your compliance and finance leads
• Document request list tailored to your licence type
• On-site or hybrid fieldwork in Taoyuan or Taipei-area offices
• Draft findings discussion before final issue
• Final report with severity ratings and remediation owners

Not included

• Legal opinions or licence application drafting
• Ongoing outsourced compliance officer duties
• Penetration testing or code review

Provider

Led by a senior auditor with fintech engagement experience in Taiwan, supported by an associate for sampling and evidence logging.

Duration

Typically four to six weeks from kick-off to final report, depending on entity complexity and evidence readiness.

Location

Hybrid delivery from our Taoyuan base, with fieldwork at your Taiwan offices by arrangement.

Preparation

Nominate a single engagement contact, assemble current policies, recent reconciliation packs, and the last internal audit or self-assessment.

Constraints

We do not audit entities outside Taiwan without a local sponsor, and we will not begin fieldwork until the document request is substantially complete.

Next step

Request an engagement estimate with your licence type and preferred timing.