IRDAI Web Aggregator & Broking Platform Compliance Audit
This checklist covers compliance requirements under Factories Act 1948 and applicable Indian regulations for financial services operations. Non-compliance can result in regulatory penalties and operational suspension under applicable Indian law.
- Industry: Financial Services
- Frequency: Quarterly
- Estimated Time: 25-35 minutes
- Role: InsurTech Compliance Manager
- Total Items: 20
- Compliance: Factories Act 1948, EP Act 1986, BIS Standards, State Regulatory Requirements
Regulatory Licences & Statutory Compliance
Verify all applicable Indian regulatory licences, registrations, and periodic returns are current.
- Are all applicable central and state regulatory licences, registrations, and permits current and displayed?
- Have all mandatory statutory returns and reports been filed with the relevant authorities on time?
- Is a designated compliance officer/manager appointed with documented responsibilities?
- Attach photo of regulatory licences, statutory returns, and compliance officer appointment:
Safety Inspections & PPE Compliance
Verify safety inspection currency, PPE provision, and training records.
- Are all mandatory safety inspections carried out by competent persons at required frequencies?
- Are workers provided appropriate PPE and trained in its correct use and maintenance?
- Number of open non-compliances from last inspection or audit:
- Attach photo of PPE issuance register, inspection records, and training certificates:
Emergency Preparedness & Statutory Registers
Verify emergency response procedures, drill records, and statutory register maintenance.
- Are emergency response procedures documented, practiced through drills, and records maintained?
- Are all statutory registers (accidents, dangerous occurrences, medical examinations) maintained correctly?
- Overall compliance with applicable Indian regulatory requirements:
- Attach photo of emergency drill records, statutory registers, and compliance certificates:
Previous Regulatory Findings & Action Tracking
Review prior regulatory findings, pending renewals, and supervisor acknowledgment.
- Have all findings from previous regulatory inspections, audits, and notices been resolved and verified?
- Is management aware of upcoming regulatory renewals and submissions in the next 90 days?
- Number of open compliance actions assigned from this inspection:
- Responsible Manager or Occupier certification of inspection:
Corrective Actions & Inspector Sign-Off
Document all deficiencies and assign corrective actions. POPProbe auto-assigns these to team members, generates a signed PDF report instantly, and tracks compliance status across all locations. -> Start free, no credit card required
- List all deficiencies identified in this inspection:
- Overall compliance status?
- Corrective actions assigned to (name and department):
- Inspector digital signature and date:
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Why Use This IRDAI Web Aggregator & Broking Platform Compliance Audit?
This irdai web aggregator & broking platform compliance audit helps financial services teams maintain compliance and operational excellence. Designed for insurtech compliance manager professionals, this checklist covers 20 critical inspection points across 5 sections. Recommended frequency: quarterly.
Ensures compliance with Factories Act 1948, EP Act 1986, BIS Standards, State Regulatory Requirements. Regulatory-aligned for audit readiness and inspection documentation.
Frequently Asked Questions
What is a IRDAI Web Aggregator & Broking Platform Compliance Audit?
A IRDAI Web Aggregator & Broking Platform Compliance Audit is a standardized inspection form used by insurtech compliance manager to ensure consistent financial services operations. It contains 27 inspection points organized into 5 sections. FREE PDF - IRDAI Web Aggregator & Broking Platform Compliance compliance checklist for Indian operations. Covers Factories Act 1948 requirements. Download FREE template.
How often should I use this financial services checklist?
This checklist is designed to be completed quarterly. Regular use ensures compliance with Factories Act 1948 and EP Act 1986 and helps identify issues before they become problems.
Can I download this IRDAI Web Aggregator & Broking Platform Compliance Audit as a PDF?
Yes, you can download this checklist as a FREE PDF for printing or offline use. The checklist includes 27 fields across 5 sections and typically takes 25-35 minutes to complete.
What compliance standards does this checklist cover?
This checklist helps ensure compliance with Factories Act 1948, EP Act 1986, BIS Standards, State Regulatory Requirements. Following these standards protects your organization and ensures best practices.
How do I complete this financial services inspection checklist?
Begin by completing the header fields for Facility / Unit Name, Inspection Date, Inspector Name & Designation, and Factory/Registration Number. Work through each of the 5 sections, marking items Yes or No as applicable. Add notes for any issues found. Finally, complete the footer fields and add your signature. The entire process takes approximately 25 to 35 minutes.
What are the key sections in this financial services checklist?
This financial services checklist is organized into 5 key sections: Regulatory Licences & Statutory Compliance, Safety Inspections & PPE Compliance, Emergency Preparedness & Statutory Registers, Previous Regulatory Findings & Action Tracking, Corrective Actions & Inspector Sign-Off. Each section contains specific inspection points that insurtech compliance manager must verify. The structured layout ensures nothing is missed during financial services inspections and makes the process efficient, typically taking 25-35 minutes to complete.
Who should use this IRDAI Web Aggregator & Broking Platform Compliance Audit?
This checklist is primarily designed for insurtech compliance manager working in financial services operations. However, it is also valuable for quality assurance teams, safety officers, compliance managers, and supervisors who need to verify that financial services standards are being met. Organizations of all sizes can benefit from using this IRDAI Web Aggregator & Broking Platform Compliance Audit to maintain consistency and accountability.