Audit an agency or broker: commission, premium money, sub-agents and records.
Scope / period: ___ | Prepared by: ___ | Reviewed by: ___ | Date: ___
A working checklist for an insurance agency or broker. It lists what to look at, not what the law requires. Check the current insurance regulator rules on licences, commission, premium handling and records. Check the current text of every rule that applies, and adapt the list to the entity. Record evidence seen, not only answers given.
Carry each "No" into the findings log with its effect on the financial statements or controls. Auditor: ________ | Reviewer: ________ | Date: ________
This template follows the format published by the Institute of Chartered Accountants of India (ICAI) in the AASB Audit Working Paper Templates (June 2023), the authoritative reference for Indian statutory-audit documentation. Fill in your firm’s letterhead and the engagement details on the form above, click Download Word file, and you’ll get a fully formatted .docx ready to use.
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