Platform Security Net

Audit engagement

Fintech Licence & Controls Audit

A structured walkthrough and sampling engagement that tests how your licensed fintech activities hold up against Taiwanese supervisory expectations before a board meeting or regulator visit.

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Auditor reviewing financial control documents at a desk

Who this is for

Payment institutions, electronic stored-value card issuers, online lending programmes, and securities-related fintech teams preparing for renewal reviews, investor diligence, or first-time licence applications in Taiwan.

What is included

  • Scoping interview covering licence type, product corridors, and outsourced vendors
  • Walkthroughs of onboarding, transaction monitoring, and reconciliation hand-offs
  • Sample testing of customer files, exception logs, and board reporting packs
  • Written findings ranked by severity with practical remediation owners
  • Closing briefing for compliance leads and one board-facing summary memo

What sits outside scope

  • Legal opinions or licence application drafting
  • Penetration testing or source-code review
  • Continuous monitoring retainers after the fieldwork window
  • Representation before the Financial Supervisory Commission

How the engagement runs

  1. 1

    Scoping call

    We map licence obligations, recent incidents, and the documents your team can produce within two weeks.

  2. 2

    Fieldwork

    On-site or hybrid sessions in Taiwan — walkthroughs, sample pulls, and interviews with operations and compliance owners.

  3. 3

    Findings draft

    You review a draft matrix of observations; we clarify facts before anything reaches the board pack.

  4. 4

    Final delivery

    Final report, remediation tracker, and a short briefing call for leadership.

Duration

Typically four to seven weeks from kickoff, depending on product breadth and evidence readiness.

Delivery

Hybrid fieldwork across Taiwan with remote document review; final briefing available in Mandarin or English.

Preparation

Provide organisation charts, latest policy set, sample customer files, and three months of exception reports before day one.

Fee basis

Fixed-fee quote after scoping; indicative range listed on the Rates page.

Scope a licence and controls audit

Tell us your licence category and the date of your next board or renewal window. We will return a draft engagement letter.

Start with a scoping call