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Scope call
We confirm license type, primary product line, visit or bank deadline, and whether materials will be English, Traditional Chinese, or both. You leave with a draft evidence request list.
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Evidence staging
Your liaison uploads policies, recent exception logs, complaint samples, and outsourcing registers to a shared folder. We flag gaps before field days so interview time is not spent hunting files.
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Field interviews and sampling
On-site or hybrid days walk onboarding, monitoring, and complaint handling. CDD and exception samples follow strata agreed in the proposal—not an open browse of every account.
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Draft findings
Your named contact reviews severity language and factual accuracy. Soft disagreements are noted; we do not remove findings solely because they are uncomfortable.
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Final pack and clarification call
You receive the written readiness or assurance report with an evidence map and prioritized remediation notes. One clarification call is included for the flagship audit.
What you should prepare
- A single liaison with authority to schedule interviews
- Meeting rooms for field days
- Policies, manuals, and recent exception reports staged before day one
- Clarity on which product line is in scope
What stays out of scope
- Legal representation before regulators
- Software selection or vendor negotiations
- Full remediation program management
- Multi-entity group audits without separate scopes
Ready to reserve a start window?
Browse the audit list or send a short brief with your license type and timeline.