Internal Controls Assessment for Trading Offices
A structured review of how trade tickets, settlement trails, and approval chains actually work on your desk — with a written findings pack your managers can act on.
From NT$180,000 per engagement
Fee guidance
Rates reflect desk complexity, sample size, and whether work is on-site in Taipei. Final quotes follow a short scoping call — informational pricing only, no online checkout.
Trading Desk Procedure Review
Line-by-line review of desk manuals, escalation trees, and end-of-day close checklists so written procedure matches what traders actually do.
From NT$95,000
Compliance Policy Drafting Support
Practical drafting help for personal trading rules, gifts registers, conflict disclosures, and branch compliance charters used by trading offices.
From NT$72,000 per policy set
Control Owner Briefings
Focused briefings for desk heads and middle-office leads on segregation of duties, exception handling, and evidence they should keep ready for review.
From NT$48,000 per session
What moves an estimate
- Number of desks, products, and locations in scope
- Volume of trade samples and exception history to review
- On-site days in Taipei versus document-only review
- Whether a remediation workshop or staff briefing is included
- Urgency ahead of an announced internal audit window
Retainers are available for offices that want quarterly procedure refreshes after an initial assessment. Deposits are described on our refund page.