Map the designated chief compliance officer
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- Record the person named as chief compliance officer and the functions the written policies assign to that person, each with the page. Write no accountability statement.
- What the lawyer must review
- Rule 206(4)-7(c) requires the adviser to designate a supervised person responsible for administering the policies adopted under paragraph (a). Paragraph (b) requires a review no less frequently than annually. This is not an Australian accountability map or accountability statement. The lawyer decides whether the designation meets the rule. The tool does not prepare a statement for anyone to sign.
- Written for / version
- United States versionUSCth
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
- 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.