Regulatory Readiness Audit
A structured review of licensing posture, customer onboarding controls, and transaction monitoring for Taiwan-facing fintech operators preparing for regulator or partner scrutiny.
From NT$180,000 per engagement · 3–6 weeks depending on product scope
Delivery: On-site in Chiayi and Taipei metro when practical; remote document review for distributed teams
Who it is for
Payment institutions, lending apps, remittance desks, and digital wallet teams seeking a clear picture of control gaps before a filing, bank partnership, or board review.
What you receive
A written findings pack with ranked observations, evidence references, and a practical remediation sequence your operations and compliance leads can act on.
Included
- Kick-off scoping workshop with compliance and product leads
- Document and policy walkthrough covering KYC, AML, complaints, and incident handling
- Sample testing of onboarding files and selected transaction trails
- Interview notes from control owners across operations and customer support
- Final findings report and a closed-door readout for leadership
Not included
- Legal opinion letters or formal certification marks
- Remediation implementation inside your systems
- Penetration testing or source-code review
How the engagement runs
Stage 1
Confirm product perimeter, jurisdictions, and evidence inventory
Stage 2
Review policies, registers, and sample customer files on-site or by secure share
Stage 3
Test selected controls against stated procedures and observed practice
Stage 4
Draft findings, discuss factual accuracy with your team, then issue the final pack
Provider
Senior audit practitioners with fintech control-testing experience across Taiwan and regional payment corridors
Preparation
Provide current policy set, organisational chart of control owners, recent complaint logs, and access to a sample of onboarding and monitoring cases.
Constraints
We do not act as your appointed compliance officer. Findings are advisory and do not replace counsel or regulator correspondence.
Pricing basis
Fixed engagement fee based on product lines in scope, number of control domains, and whether on-site days are required. A written estimate follows the scoping call.
Next step
Request a scoping call so we can map your product perimeter and send a written estimate.
Book the scoping call