Server Valley Cloud

Flagship engagement

Regulatory Readiness Audit

A structured review of licensing conditions, board oversight, and control evidence before you meet the regulator.

Duration 4–8 weeks
Fees Fixed engagement fee from NT$280,000

Request this engagement

Auditor reviewing financial documents at a desk

Who it is for

Payment institutions, e-money issuers, and lending platforms preparing for FSC or Central Bank scrutiny in Taiwan

What you receive

A written findings report, prioritized remediation map, and evidence pack your compliance team can take into supervisory meetings

Included

  • Kick-off scoping against your license type and product lines
  • Document and policy walkthrough with control owners
  • Sample testing of KYC files, transaction monitoring alerts, and board minutes
  • Draft findings workshop with management
  • Final report with severity ratings and remediation owners

Not included

  • Legal opinions on licensing eligibility
  • Remediation delivery or staff secondment
  • Penetration testing or source-code review

Process

  1. Scope confirmation and document request list
  2. On-site or remote fieldwork with control owners
  3. Issue validation and severity calibration
  4. Management review and final report delivery

Delivery

Taipei and remote fieldwork across Taiwan; Penghu coordination office for scheduling

Preparation

Prepare current policy suite, last two board packs, KYC sampling extract, and monitoring rule inventory

Independence

We do not audit entities we advise on remediation in the same period; independence rules apply

Next step: Request an engagement brief via the contact form. Typical reply time is three business days with clarifying questions and a fee range.

Open the contact form