Investor Diligence Control Review
Pressure-test the control story investors will ask about — safeguarding, reconciliations, and incident handling — before the data room opens.
Engagement outlineAudits for fintech · Taiwan
Evidence that holds when a licensing pack is opened
We walk customer files, recon packs, and exception logs with the people who own them — then write findings memos boards and compliance committees can act on before a regulator or investor asks.
Fieldwork across Taiwan payment and lending teams preparing for inspection calendars.
Flagship engagement
Licensing Readiness Audit
For electronic payment and lending teams assembling a Taiwan licensing pack. We map onboarding, monitoring, and safeguarding controls, sample the evidence, and return a graded findings memo with remediation priorities — typically over three to five weeks.
Related audits
Other work we take on
Each engagement stays close to a concrete milestone: a diligence questionnaire, an AML committee challenge, or a recon pack that needs an outside reading.
AML Walkthrough & Sampling
Sit with compliance owners to walk KYC files and alert dispositions, then sample enough cases to show how the programme behaves under pressure.
Engagement outline
Safeguarding & Reconciliation Health Check
Trace how customer funds move through accounts, how breaks are cleared, and whether safeguarding evidence would stand up in a review.
Engagement outlineFrom the fieldwork
“The sample window forced us to stop rewriting policies and look at actual KYC files.”
Compliance lead, electronic payment institution — after a licensing readiness audit ahead of an FSC pre-meeting.
She asked us to keep one reservation in the memo: alert dispositions still trailed the written standard on older tickets. That honesty shaped the remediation list her committee approved the following month.
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