Flagship engagement
Fintech Controls Audit
A structured review of payment, ledger, and customer-fund controls for licensed and pre-license fintech firms operating in Taiwan.
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Who it is for
Payment institutions, e-wallet operators, lending platforms, and brokerage fintechs preparing for supervisory review or investor diligence.
Result
A written findings memo, control matrix, and prioritized remediation plan that management can take into board and regulator conversations.
Provider
Led by a senior controls reviewer with fintech payment and wallet experience in Taiwan.
Included
- Kickoff scoping of products, ledgers, and third-party processors
- Sample testing of reconciliations, access rights, and exception queues
- Interviews with finance, operations, and compliance leads
- Draft findings workshop and final signed report
Not included
- Statutory financial statement audit under Taiwan company law
- Penetration testing or code review
- Ongoing outsourced compliance staffing
How the work proceeds
- Scope confirmation and document request list
- Fieldwork on sample periods and control owners
- Findings validation with management
- Final report and remediation sequencing
Preparation
Have organization charts, policy manuals, recent reconciliation packs, and a list of material vendors ready before kickoff.
Constraints
We do not certify regulatory approval. Findings reflect the sample period and evidence provided.
Ready to scope this engagement?
Send product lines, recent close cycles, and timing. We reply within two business days.
Request an audit estimate