From scoping letter to findings board
A clear sequence for how we plan samples, conduct interviews, and rate residual risk — so compliance officers know what fieldwork will ask of their teams.
Six stages every regulatory audit follows
Workshops and readiness reviews compress stages; the flagship Regulatory Compliance Audit runs the full arc.
Brief and perimeter
You share licence class, entity map, prior findings, and timing constraints. We return a proposed perimeter, fee estimate, and document request list within two business days.
Scoping letter
Mutual agreement on in-scope products, sample windows, interview roles, and deliverables. Independence and confidentiality terms sit here — not in marketing copy.
Sample plan
We define populations for customer files, alerts, and board materials. Stratification favours higher residual risk rather than flat percentages that overwhelm investigators.
Fieldwork weeks
Walkthroughs, file testing, and alert re-performance. On-site days in your offices when needed; Hualien desk coordination for secure document review between visits.
Draft findings
Severity-rated issues with evidence references. Management receives a response window to correct facts before ratings lock for the board version.
Closing conference
Directors hear residual risk in plain language. Optional Board Findings Workshop converts the pack into owners, budgets, and retest dates.
Preparation that keeps fieldwork honest
Designate one compliance contact with authority to pull files. Reserve interview time with operations and monitoring analysts — not only with policy authors. Provide the last twelve months of exception logs before week one.
We do not ask for production database access or credentials. Evidence arrives as exports, screenshots with context, and supervised walkthroughs.
Ready to open a scoping conversation?
Tell us your licence class and the date you need a board-ready report. We will propose the engagement that matches — flagship audit or a narrower review.