Audit engagement
Pre-Licence Control Readiness
A readiness review of control narratives, segregation evidence, and ledger hygiene before you invite supervisory or investor diligence on a new fintech licence path.
Who this engagement serves
Pre-licence or newly licensed fintech teams in Taiwan who must show coherent control descriptions and ledger practices before formal diligence intensifies.
Result you can expect
A readiness scorecard against your own stated controls, gaps ranked for remediation, and a suggested evidence binder structure for the next diligence round.
Scope
Control narrative review, sample ledger hygiene checks, and segregation-of-duties walkthroughs — not a substitute for counsel on the licence application itself.
What is included
Built for teams who want to walk into diligence without surprises in the finance binder.
- Review of drafted control narratives against observed ledger practice
- Spot checks on user-fund and operating-fund account segregation
- Remediation roadmap with suggested owners and sequencing
- Template index for an evidence binder
What is not included
We stay in the audit and readiness lane.
- Drafting licence application legal submissions
- Acting as your statutory auditor
- Guaranteeing supervisory approval outcomes
How the review proceeds
Readiness work stays collaborative and document-heavy.
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1
Narrative intake
We read the controls you already plan to present.
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2
Practice sampling
Spot checks test whether daily practice matches the page.
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3
Gap ranking
Gaps are ranked by diligence risk, not by buzzwords.
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4
Binder plan
You receive a structure for evidence your team can maintain.
Preparation we ask of you
Share draft control descriptions, org chart for finance approvals, and recent month-end packs.
Constraints to note
If control narratives are still unwritten, we begin with a shorter discovery week billed separately.
Ready to brief the engagement?
Share your product lines, ledger cut-off date, and any regulator correspondence already in hand. We will confirm fit and fee range before work begins.
Send a briefing note