Data Intellect
Recordkeeping audits for regulated fintechs — so retention schedules, customer files, and evidence trails match what your policies promise.
Primary engagement
Recordkeeping Audit — a structured review of how your firm creates, stores, retrieves, and retires regulated records across onboarding, transactions, and governance.
You leave with a record map, gap list ranked by reconstructability risk, and a remediation sequence your compliance and operations owners can schedule. Fees on service pages are guides only; work starts after a written proposal.
Related audit work
Request a single module or combine reviews into a broader recordkeeping programme.
Recordkeeping Audit
A structured review of how your fintech firm creates, stores, retrieves, and retires regulated records.
Retention Schedule Review
Test whether published retention clocks match system behaviour, legal holds, and deletion practices.
Evidence Trail Assessment
Trace whether key decisions and customer events leave a reconstructable evidence path from trigger to archive.
Archive Integrity Check
Sample archived stores for completeness, readability, and retrieval after migrations or vendor changes.
What clients say
Fintech teams who needed their archives to match the story in their policies.
They traced our retention claims against what actually sat in the archive — the gap list was specific enough for operations to own each fix.Mei Ling Chan — Head of Compliance, licensed payment firm
Our board pack finally had a clear map of which customer records we could reconstruct for a five-year lookback.Jonathan Wu — COO, digital lending platform
Sampling was calm and thorough. No theatre — just findings tied to policies we had already published.Priya Desai — Risk lead, wealth-tech startup
Common questions
What records do you typically examine?
Customer onboarding files, transaction journals, board and committee packs, complaint logs, vendor due diligence packs, and the retention schedules that claim to govern them. Scope is confirmed in the proposal.
Do you issue a regulatory certificate?
No. We deliver an audit report with findings, evidence gaps, and remediation sequencing. Supervisory decisions remain with your firm and advisers.
How long does a recordkeeping audit take?
Most core engagements run three to five weeks from kick-off to read-out, depending on archive access and how quickly owners can schedule walkthroughs.
Can you work on-site in Sham Shui Po?
Yes. Remote review is the default for document sampling; workshops and sensitive archive walkthroughs can be held at Welland Plaza or your office.