---
title: "List topics for a staff note of a complaint"
url: "https://ailawframework.com/practice/financial-services-regulation/take-a-staff-account-of-the-events-for-a-complaint-or-dispute-file/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-X20260927-10-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "red"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# List topics for a staff note of a complaint

> List the date, the people named in the file, and the questions the complaint raises. Write no narrative for anyone to sign and no quote presented as that person's words.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/take-a-staff-account-of-the-events-for-a-complaint-or-dispute-file/united-states  
Last reviewed: 2026-10-22

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 | Red: Lawyer writes; AI may check, clarify or collect data |
| How AI is used | List the date, the people named in the file, and the questions the complaint raises. Write no narrative for anyone to sign and no quote presented as that person's words. |
| What the lawyer must review | A note that someone will sign is written by the lawyer after speaking with the person. Section 1746 of Title 28 provides that where federal law permits a matter to be proved by a sworn statement, the matter may instead be supported by an unsworn statement subscribed as true under penalty of perjury and dated, in substantially the form the section sets out. Nothing the tool produces is that statement. Model Rule 1.6 applies to the complaint file. |
| Written for | United States |
| Applies to | [Take a staff account of the events for a complaint or dispute file](https://ailawframework.com/practice/financial-services-regulation/take-a-staff-account-of-the-events-for-a-complaint-or-dispute-file.md) |

## Checking plan

- What the AI does: List the date, the people named in the file, and the questions the complaint raises. Write no narrative for anyone to sign and no quote presented as that person's words.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- The topic list is not a statement by the staff member.
- Do not put the complaint file into a public tool.

## Sources

- [28 U.S.C. section 1746, Unsworn declarations under penalty of perjury](https://www.law.cornell.edu/uscode/text/28/1746) (checked 2026-10-22)
- [ABA Model Rule 1.6, Confidentiality of Information](https://www.americanbar.org/groups/professional_responsibility/publications/model_rules_of_professional_conduct/rule_1_6_confidentiality_of_information/) (checked 2026-10-22)
- [ABA Formal Opinion 512, Generative Artificial Intelligence Tools (29 July 2024)](https://www.americanbar.org/content/dam/aba/administrative/professional_responsibility/ethics-opinions/aba-formal-opinion-512.pdf) (checked 2026-10-22)

## Forms and precedents for this task

| Form or precedent | Kind | AI level | Summary |
| --- | --- | --- | --- |
| [AFCA complaint: online form and downloadable complaint form](https://ailawframework.com/precedents/financial-services-regulation/form-afca-make-a-complaint.md) | Form | Yellow | Link to AFCA's general complaint routes. The make-a-complaint page covers online, email, phone and a downloadable form, for members' financial-firm complaints. |
| [AFCA agent authority](https://ailawframework.com/precedents/financial-services-regulation/form-afca-agent-authority.md) | Form | Yellow | Link to the AFCA agent authority. The make-a-complaint page says a complainant may appoint an authorised agent or representative with that form. |
| [AFCA statement of financial position](https://ailawframework.com/precedents/financial-services-regulation/form-afca-statement-of-financial-position.md) | Form | Yellow | Link to the AFCA statement of financial position. The forms page lists an online form under financial difficulty and a downloadable PDF. |
| [AFCA resolution of directors](https://ailawframework.com/precedents/financial-services-regulation/form-afca-resolution-of-directors.md) | Form | Yellow | Link to the resolution of directors PDF listed on the AFCA forms page. That list does not say when the resolution is required. |

Signed-in accounts can read the full text of each one.

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