Module 2 · Operating agents · Lesson 4

Compliance and auditability

What a regulated business must be able to show about work its agents do, and how to build the audit trail, sign-off flow and data handling that let it, without overstating what the rules require.

80 min 1 video 3 exercises 7-question quiz Answers

Setup for the exercises:Install Claude Code Node.js, pnpm and TypeScript Durable agents with eve Get an OpenRouter key Local models with Ollama

By the end of this lesson you can

Identify which professional, anti-money-laundering and data-protection obligations bear on an agent's design, and what each does and does not require
Design an append-only, tamper-evident audit record for agent actions that supports supervision and reconstruction
Decide which decisions are reserved for qualified humans and build sign-off gates around them
Size a supervision sample to detect a given error rate with stated confidence
Set retention and redaction rules for traces, transcripts and audit logs that respect both record-keeping duties and data minimisation

Six months after completion, the buyer discovers a right of way across the garden that the report on title didn't mention. The client complains; the firm's insurer and possibly the SRA ask what happened. Could you show which documents the agent read, what it extracted and quoted, which model and prompt version it ran on, what it drafted, who reviewed it and what they changed? A demo agent leaves a chat log. A production agent in a regulated firm has to leave a record that a supervisor, an auditor or a regulator can follow.

Compliance and auditability

What a regulated business must be able to show about work its agents do, and how to build the audit trail, sign-off flow and data handling that let it, without overstating what the rules require.

Compliance and auditability

Compliance and auditability

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