Briefing call
We collect licence class, products in scope, last external review, and the board or supervisor date that matters. You leave with a provisional fee range and a sense of whether the window is realistic.
Engagement
How an audit engagement unfolds
A practical map of the stages we use for audits for fintech — from the first brief to the board pack — so operations leads know when we will be in the building.
Planning memo
Control objectives, sample sizes, access list, and interview roster. Nothing enters fieldwork until both sides sign the memo — including what is explicitly out of scope.
Fieldwork
Walkthroughs, sample testing, and evidence logging. On-site days are scheduled in blocks so your settlement team is not interrupted every afternoon. Remote review covers the gaps between visits.
Findings workshop
Draft grades presented with management in the room. Comments are captured before the register locks. This is where disagreements about severity are argued — not after the board pack ships.
Final pack
Management letter, graded register, and evidence index delivered within ten business days of fieldwork close. We remain available for clarification calls; we do not run the remediation project.
What we need from your side
- A named coordinator who can book interviewees within three working days
- Read-only access to monitoring queues and reconciliation folders
- Current policy set and the last management letter you are willing to share
- Clarity on Chinese vs English for the board narrative
Common questions about the rhythm
Can you compress a full audit into three weeks?
Only for a narrow product set with mature evidence rooms. Compressed calendars usually mean a larger fieldwork team and a higher fee — we will say so in the brief rather than promise an impossible close date.
Do you need permanent desk space on site?
A quiet room for interview days is enough. Much of the sample testing can run from Changhua once access is granted.
Will you speak directly to our partner bank?
When safeguarding letters require it, and only with your introduction. We do not contact banks cold.