Engagement

Licensing Readiness Audit

Assess policy coverage, KYC sampling, and evidence packs before an FSC filing or licence expansion for a Taiwan fintech operator.

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Signed documents and a fountain pen on a contract folder
Evidence packs prepared for licence review

Who this is for

Pre-licence fintech teams and licensed firms seeking to add payment, remittance, or lending activities under Taiwanese supervision.

Scope of work

We compare your policies, sampling evidence, and operational records against the filing narrative you intend to submit — then list gaps that examiners are likely to challenge.

Included

  • Policy-to-practice mapping for KYC, AML monitoring, and complaint handling
  • Sampling of customer files against stated onboarding rules
  • Review of ownership charts and key-person responsibilities
  • Gap list with suggested evidence improvements before filing

Not included

  • Drafting the regulatory application itself
  • Acting as counsel before the FSC
  • Guaranteeing licence approval

How the work proceeds

  1. 1

    Document inventory

    We catalogue policies, training logs, and customer-file samples already available.

  2. 2

    File sampling

    Random and risk-weighted samples are tested against your written onboarding rules.

  3. 3

    Narrative stress-test

    We read your intended filing story against what the evidence actually shows.

  4. 4

    Gap briefing

    Management receives a prioritised gap list and a short readiness opinion letter.

Ready to scope this engagement?

Share your product map and a recent settlement pack. We will reply with a written estimate.

Request a scoping call