Audit engagement
Fintech Controls Audit
A structured review of control design and operating evidence for payment, lending, and wealth-tech firms preparing for licence reviews or investor diligence in Taiwan.
Who this engagement is for
Payment institutions, e-wallet operators, P2P and consumer lenders, and wealth-tech teams that need an independent view of how their control environment actually works — not a slide deck of aspirations.
The Fintech Controls Audit is delivered by Network Security Hub practitioners who have sat through licence inspections and diligence rooms in Taiwan. We work in English with bilingual support for Mandarin documentation when your evidence set requires it.
Result you can expect
You leave with a dated findings register, severity-rated observations, and a remediation map that names owners and realistic windows. Boards and investors receive language they can use without translating jargon. Regulators see a coherent narrative of how controls are designed and sampled.
Scope and delivery
Engagements are typically remote-first with optional on-site days in Yunlin or Taipei when walkthroughs benefit from being in the room. Duration runs four to seven weeks depending on product count and evidence maturity. Your compliance lead remains the single point of contact; we do not flood every engineer’s calendar.
Preparation
Before kick-off, gather current policy versions, the last internal control self-assessment, privileged access reviews, and any prior regulator correspondence. Incomplete evidence slows testing more than imperfect policies — we would rather see what you actually operate than a polished draft that never left a shared drive.
Pricing basis
Fees start from NT$180,000 for a single-product controls audit with a defined sample set. Multi-product groups and concurrent diligence support are quoted after scoping. A deposit confirms the start window; the balance is due on delivery of the final report.
What is included
- Kick-off scoping with your compliance lead and product owners
- Control inventory mapped to your licence type and product lines
- Sample testing of operating effectiveness with documented workpapers
- Written findings report with severity ratings and remediation owners
- Closing briefing for management and, when requested, your board risk committee
What is outside scope
- Full statutory financial statement audits under accounting standards
- Continuous monitoring subscriptions or managed detection services
- Legal opinions on licence applications or disputes
- Implementation of remediation work on your behalf
How the engagement unfolds
Designed for compliance officers, founders preparing for diligence, and operations leads who need a clear audit trail.
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1
Scoping conversation
We confirm licence category, product surfaces, prior findings, and the audience for the report — regulator, investor, or internal board.
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2
Evidence request and walkthroughs
Your team shares policies, access logs, change records, and reconciliations. We schedule walkthroughs with the people who run each control.
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3
Testing and challenge
Sample selections are agreed in advance. We test design and operating evidence, then discuss interim observations before drafting.
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4
Report and remediation map
You receive a findings register, residual risk notes, and a practical remediation sequence sized to your team’s capacity.
Ready to schedule this audit?
Tell us about your licence type, product lines, and preferred window. We reply within two business days.
Ask about availability