Build an authorised-representative or appointed-rep register issues list
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- Compare the representative register, appointments and training records and list missing agreements, overdue training and unauthorised product lines.
- What the lawyer must review
- Confirm appointments against the signed documents
- Do not treat a register extract as the appointment
- Written for / version
- US
Open a jurisdiction version of this task to see which instruments apply: US
Who does what
| Role | What they do |
|---|---|
| Assistance | Compare the representative register, appointments and training records and list missing agreements, overdue training and unauthorised product lines. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Verify every relied-on citation, figure and name against the source document.
- The responsible lawyer approves the exact version before use.
Forms and precedents for this task
| Form or precedent | Kind | AI use | Summary |
|---|---|---|---|
| Authorised representative agreement and written authorisation (AFS licensee) | Agreement | AI use Yellow | An agreement between an Australian financial services licensee and an authorised representative, with the s 916A written authorisation as a schedule: authorised services within the licence, conduct and compliance obligations, monitoring, AI tool rules, fees, ASIC notification and revocation. |
Signed-in accounts can read the full text of each one. All precedents.
Sources
Confirm the required checking with the responsible lawyer before work starts. The checking approach does not establish permission to use AI.