Policy Exception Audit
Independent review of how your organisation records, authorises, and closes policy exceptions across finance and operations.
Who it is for
Finance controllers, compliance leads, and internal audit teams at mid-size and large organisations operating in Taiwan who need an outside view of exception handling.
Result you receive
A written findings report with ranked control gaps, sample evidence, and practical remediation steps your teams can action without rewriting every policy overnight.
Scope
We examine exception logs, approval trails, compensating controls, and closure evidence for a defined period and set of policies you nominate.
Included
- Kick-off scoping call and policy inventory
- Sample selection across exception categories
- Walkthroughs with process owners
- Findings memo with severity ratings
- Remediation workshop (up to half a day)
Not included
- Full statutory financial statement audit
- Legal opinions on regulatory interpretation
- Implementation of new systems or software
How the engagement runs
- Scope confirmation and access to exception registers
- Fieldwork: sampling, interviews, and document review
- Draft findings for management comment
- Final report and remediation workshop
Provider
Senior auditors from our Hsinchuang practice, paired with a engagement lead who remains your single point of contact.
Preparation
Provide exception logs for the agreed period, relevant policy manuals, and a list of approvers with their roles.
Constraints
We do not accept engagements where management cannot grant access to primary exception records.
Request an engagement estimate
Share the policy families or workflows you want examined. We typically reply within two business days.
Contact us