Add a breach-register row from the incident facts
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- Record the date, what the file says happened, who in the file knows, and whether a notice has already been sent. Write no notice and no legal conclusion.
- What the lawyer must review
- Rule 206(4)-7 requires policies, an annual review, and a chief compliance officer. It does not, on the text opened, state a breach-notice deadline. Regulation S-P timing was not opened, so no notification period is stated. Model Rule 1.6 applies to the incident file. The lawyer decides whether a notice is required and writes it.
- Written for / version
- United States versionUS
Who does what
| Role | What they do |
|---|---|
| Assistance | Do not begin AI assistance until the responsible lawyer has defined and confirmed its permitted scope. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Calculate operative dates independently from the current rule and actual triggering event. Check exceptions and record the verified deadline.
- Obtain and inspect the relevant current official register or search result. Confirm identities, interests and the date and scope of the search.
- Verify the applicable jurisdiction and the version of each relevant law, rule or instrument in force at the material time.
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.