---
title: "Build a human-in-the-loop sign-off register for AI-generated advice"
url: "https://ailawframework.com/practice/financial-services-regulation/build-a-human-in-the-loop-sign-off-register-for-ai-generated-advice"
type: "task"
site: "AI Law Framework"
id: "A28-B6-5"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "green"
lawyer_review: "required"
jurisdictions: ["AU"]
last_reviewed: "2026-10-10"
---

# Build a human-in-the-loop sign-off register for AI-generated advice

> Design a log capturing reviewer, changes and approval.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/build-a-human-in-the-loop-sign-off-register-for-ai-generated-advice  
Last reviewed: 2026-10-10

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Financial Services Regulation (AFSL/ASIC/credit)](https://ailawframework.com/practice/financial-services-regulation.md) |
| Human involvement | Green: AI drafts, lawyer checks |
| How AI is used | Design a log capturing reviewer, changes and approval. |
| What the lawyer must review | Compliance confirms record-keeping obligations. |
| Written for / versions | Australia |

## Checking plan

**Lawyer review required**

The responsible lawyer reviews the work against the instructions, sources and intended use.

- What the AI does: Design a log capturing reviewer, changes and approval.
- What the lawyer does: Compliance confirms record-keeping obligations.
- Who reviews: Lawyer competent in the matter and the forum
- Basis: Planning guidance checked against the linked public sources on 10 October 2026. Confirm the current instrument before reliance.
- Why: The traffic light follows the consequence of an error and how much of the output the lawyer must check before it is used.
- Written for: AU

## Checks the lawyer makes

1. Open the cited source and confirm it is the current instrument for this forum and this date.
2. Compliance confirms record-keeping obligations.
3. Compare the output with the source and the instructions, including material the output left out.
4. The responsible lawyer approves the exact output for its intended use, or sends it back.

## Notes

- Suggested working checks from the linked public sources. Read the source and confirm it applies to this forum and this date. The checks do not approve software or record that the work is done.

## Practical guide

Jurisdiction: Australia

**Deliverable**: Build a human-in-the-loop sign-off register for AI-generated advice

**Inputs**

- AFSL House: Gen AI and advice compliance
- KM Tech: AI governance for planners
- The matter instructions and the documents the output will rely on.

**Example**: Stop before the result is filed, sent or relied on. Compliance confirms record-keeping obligations.

**Stop and escalate when**

- The cited source is not the instrument that applies to this forum or this date.
- The output states a fact, date, citation, figure or commitment that is not in the instructions or the source.
- The responsible lawyer has not approved the exact output for its intended use.

Checked 2026-10-10.

## Sources

- [AFSL House: Gen AI and advice compliance](https://afslhouse.com.au/insights/generative-ai-financial-advice-compliance-afs-licensees/) (checked 2026-10-10)
- [KM Tech: AI governance for planners](https://kmtech.com.au/information-centre/ai-governance-for-financial-planners/) (checked 2026-10-10)

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*