Template

Suppliers Attestation Checklist

by Julie Zhu, from the Community

10+

This Suppliers Attestation template helps insurance service providers and distributors confirm compliance across key obligations. Verify AFS licence status, ASIC reporting, and adherence to the General Insurance Code of Practice. Review policy wording and disclosure, underwriting and pricing controls, claims handling, complaints and IDR processes, and outsourcing arrangements. Assess information security frameworks, user access reviews, cyber incident notification, and business resilience including BIA, BCP, ITSCM and DRP testing. Check fraud and AML controls, privacy practices, conflicts of interest, staff training, incident management, modern slavery due diligence, and economic sanctions screening.

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Digitize any process, procedure or policy

Eliminate mistakes made by paper-based processes

Create and share professional reports instantly

Confirm accountability and compliance with a digital log

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This community page makes available free workplace checklists and templates created by other users within the SafetyCulture community. SafetyCulture has re-published this content and where possible, has credited the original author. SafetyCulture has not verified the accuracy, reliability or suitability of any community content. You agree that your use of any of this content is in accordance with SafetyCulture’s Terms and Conditions.

Template
Suppliers Due Diligence - Claims
This supplier due diligence checklist focuses on insurance claims and regulatory compliance for Australian financial services. It helps assess documented claims processes aligned to the General Insurance Code of Practice, quality assurance, and fraud and anti-money laundering controls. It includes checks for vulnerable customer handling, complaints and IDR reporting to ASIC, and outsourcing governance. The template verifies AFS Licence status and obligations, conflicts of interest, and records management. It reviews information security frameworks, control testing, cyber incident notification to the Australian Cyber Security Centre, user access reviews, and segregation of duties. Business resilience sections cover BIA, BCP, IT service continuity, and disaster recovery. Additional sections address staff training and competence, incident management and AFCA notices, privacy governance and designated officer, and modern slavery risk management.
by Julie Zhu, from the Community
Downloads: 10+
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Template
Supplier Due Diligence Attestation Checklist
Use this supplier due diligence and attestation checklist to evaluate third party vendors on information security, privacy, business continuity and disaster recovery, outsourcing practices, fraud and corruption controls, and modern slavery risk. Capture annual evidence such as security frameworks, penetration testing or certifications, BCP testing, business impact assessments, disaster recovery results, and data protection policies. Confirm control reviews, incident reporting, legislative compliance, and designate accountable roles like privacy officer to ensure resilient and compliant supplier relationships.
by Julie Zhu, from the Community
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Template
Supplier Due Diligence Attestation
Use this supplier due diligence and attestation checklist to evaluate third party vendors against key risk areas. Sections cover annual information security reviews and testing such as SOC 2, ISO 27001 and penetration tests, business impact assessments, business continuity and disaster recovery, IT service continuity, privacy and data protection, data residency locations, outsourcing disclosures, fraud and corruption, and modern slavery. Capture details, designate a privacy officer, and confirm compliance across the past 12 months.
by Julie Zhu, from the Community
Downloads: 10+
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Template
Facility Quality Index Audit Checklist
Use this supplier due diligence and attestation checklist to evaluate third party vendors against key risk areas. Sections cover annual information security reviews and testing such as SOC 2, ISO 27001 and penetration tests, business impact assessments, business continuity and disaster recovery, IT service continuity, privacy and data protection, data residency locations, outsourcing disclosures, fraud and corruption, and modern slavery. Capture details, designate a privacy officer, and confirm compliance across the past 12 months.
by Julie Zhu, from the Community
Downloads: 0
Get

Suppliers Attestation Checklist

About author

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Suppliers Due Diligence - Claims

Supplier Due Diligence Attestation Checklist

Supplier Due Diligence Attestation

Facility Quality Index Audit Checklist

You might also like

Suppliers Due Diligence - Claims

Supplier Due Diligence Attestation Checklist

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Facility Quality Index Audit Checklist