Scoping call
We confirm desk coverage, products in scope, document access, and whether the visit is on-site in Taipei or hybrid. You leave with a written request list.
Engagement rhythm
A clear path from first call to signed-off findings — designed for trading offices that cannot pause the market while controls are reviewed.
Floor observation
Partners sit with ticket capture, confirmations, and settlements. Sample testing follows the path a real trade takes — including the awkward handoffs.
Factual check
Draft findings go to your control owners for factual accuracy before severity ratings are locked. No surprises in a final meeting.
Remediation workshop
Owners leave with a 90-day plan, named tasks, and a short evidence checklist for the next internal review.
What we ask of your office
A single engagement sponsor, quiet interview time with two to four control owners, and access to recent blotter samples (redacted where required). Busy desks still trade during our visit; we schedule around open and close.