Audit engagement

Licensing Readiness Audit

Walk the control environment your licensing pack will be judged against — policies, sample testing, and a findings memo your board can act on.

Who this is for

Payment institutions, electronic payment institutions, and digital lending teams preparing a Taiwan FSC-related filing or a pre-inspection dry run.

A written findings memo, sampling worksheets, and a prioritized remediation list tied to the evidence your licensing pack must carry.

Duration: Three to five weeks for a single-entity readiness review, depending on sample size and document readiness
Delivery: On-site in Taiwan when evidence rooms and staff interviews require it; remote document review for distributed teams
Fees: Fixed fee quoted after scoping, typically starting from NT$280,000 for a focused single-product readiness review
Provider: Senior audit practitioners from Infrastructure Node, typically led by one engagement partner and one fieldwork lead

Mapping of customer onboarding, transaction monitoring, and fund safeguarding controls against your stated policies
Sample testing of KYC files, exception logs, and board reporting packs from a defined review window
Interviews with compliance, operations, and finance owners responsible for each control
A findings memo graded by severity with suggested evidence upgrades

Scoping call to fix the licensing milestone, systems in scope, and sample period

Document request list and kickoff with control owners

Fieldwork across interviews, walkthroughs, and sample testing

Closing session and delivery of the findings memo plus remediation priorities

Preparation & limits

Prepare: Policy set, recent board packs, sample KYC files, exception registers, and access to control owners for scheduled interviews

Constraints: We do not certify licences or replace your licensed external auditor for statutory financial statements

Request a scoping call so we can confirm milestones and sample windows before drafting an engagement letter