Engagement
Regulatory readiness audit
An independent walkthrough of licensing-critical controls for payment and remittance firms facing FSC examination or investor diligence in Taiwan.
Why this engagement exists
Licensing interviews rarely fail on missing policy titles. They strain when daily settlement packs, agent files, or complaint logs cannot match what the binder promises. This audit is built for that gap.
What fieldwork looks like
We walk control owners through onboarding scripts and live (or recorded) settlement batches. Samples are drawn from populations you confirm in writing. Exceptions are logged with evidence IDs before they appear in the draft memo, so the closing conference is about facts and ranking — not surprises.
Deliverable
You receive a ranked findings memo: severity, control reference, evidence pointer, recommended owner, and suggested remediation window. Optional annexes include a control matrix and a short board summary in English or Chinese as agreed at kickoff.
Engagement contract at a glance
Who it is for
Licensed or licence-seeking payment institutions, remittance operators, and e-wallet issuers in Taiwan that need a frank control assessment before an examination or funding diligence window.
Result
A ranked findings memo with sample references, control owners, and remediation priorities your compliance officer can assign before the board meeting.
Scope
Onboarding, agent oversight (where applicable), settlement reconciliations, complaint handling, and selected governance artefacts tied to your licence type. Product lines are locked at kickoff.
Included
Scoping call, document request list, fieldwork days as quoted, sample testing within agreed populations, draft review conference, and final bilingual-capable memo.
Excluded
Legal opinions, system implementation, continuous monitoring retainers, and testing of product lines added after scope lock without a change order.
Led by
Led by Hana Lin with a fieldwork lead and one senior auditor sized to your entity.
Process
Scope lock → document request → kickoff → walkthroughs → sample testing → closing conference → final memo.
Timeline
Typically four to six weeks from kickoff for a single-licence entity with two product lines.
Delivery
Hybrid — document review remote; settlement observation preferred on-site in Greater Taipei.
Preparation
Nominate a coordinator, stage sample populations, and confirm weekend batch archive locations before day one.
Constraints
We do not certify regulatory approval. Findings are independent opinions for management use, not a substitute for counsel.
Pricing basis
Fixed fee after scope lock; deposit 30%. Starting from NT$380,000.
Next step
Request a scoping call via the contact form and attach your licence type and examination or diligence date if known.