Fieldwork
The rhythm of an audit engagement
This page maps what happens between the scoping call and the final findings memo — so operations, compliance, and finance know when they will be needed.
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Scoping call
We confirm licences, product lines, examination or diligence dates, and whether walkthroughs will be on-site in Taipei or remote. You leave with a draft fee range and a provisional fieldwork window.
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Document request
A numbered list covering policies, sample populations, reconciliation packs, agent files, and SAR case extracts. We mark must-have versus nice-to-have so your team can prioritise.
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Kickoff and access
We agree interview slots with control owners, set secure file transfer, and confirm bilingual reporting needs for board packs.
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Walkthroughs and observation
Process walkthroughs for onboarding, monitoring, settlement, and complaints. Settlement observation is scheduled for a live batch day when possible.
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Sample testing
Selections are drawn from agreed populations. Exceptions are logged with evidence references before they appear in the draft memo.
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Closing conference
Draft findings are walked through with compliance. Factual corrections are taken before the memo is finalised and ranked by severity.
What we need from your side
A single coordination contact, timely sample pulls, and access to the people who actually run settlement and monitoring — not only the authors of the policy binder. If weekend batch archives live outside the main drive, tell us during kickoff.
