Engagement guide
From scoping call to signed findings register
Audits for fintech operators succeed when the boundary, sample, and interview calendar are honest from day one. This page is how we run that work.
What we need before week one
A named engagement lead, access to the document room, a list of in-scope product lines or corridors, and a preferred fieldwork window that avoids your heaviest settlement days when possible.
If branch or agent files cannot leave the premises, say so early — we will schedule on-site sampling in Taiwan rather than force remote uploads that violate your retention rules.
Stages
The five stages of an audit engagement
1. Scoping call
We confirm the commercial question — board pack, licensing filing, corridor break, or KYC concern — and draft a one-page boundary. No sampling begins until you approve the letter.
2. Planning memo
You receive the testing plan, evidence request list, and interview roster. Adjustments are expected; silent scope creep is not.
3. Fieldwork
Interviews, file sampling, and walkthroughs. We note when evidence is incomplete rather than filling gaps with assumptions.
4. Draft findings
A clearance meeting lets your team correct facts. Wording on severity may be discussed; facts backed by samples are not negotiated away.
5. Final report
You receive the findings register, remediation map, and management letter. We remain available for a short board briefing if requested in the letter.
What this engagement is not
We do not staff your second line, rewrite your policies as a ghostwriter, or advocate before the FSC. Those roles belong to counsel and your appointed officers. Our work is independent examination and clear reporting.
