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Help center › Compliance

The compliance dashboard

Unresolved violations by severity, kind and age; what waits for your sign-off; and the daily compliance brief.

At a glance

Where
Compliance › Compliance dashboard (/app/compliance)
Who
Users with review compliance: Compliance (and Admins they grant it to). Roles and permissions

Try it in the demo A private sandbox firm, no sign-up. Simulated data only.

The compliance dashboard
Counts that link to the lists behind them, the daily brief and what waits for you.

What is on it

  • Run the post-trade check now and Triage violations (the AI suggests an order to work them in; nothing changes by itself).
  • Boxes: unresolved violations, hard blocks, warnings, passive breaches, overdue, and rules waiting for sign-off. Each View → opens the filtered list.
  • Daily compliance brief: Draft today's brief writes a summary of the day from the records (the AI drafts it; the facts are counted by code).
  • Waiting for you: overrides to decide and rules to sign off (never your own), and your drafts that still need the test bench and a submission.
  • By age, by rule, by account: where the open violations are.
  • Unresolved violations: the list, to acknowledge, assign, resolve, waive or escalate.

A typical morning

  1. Read the brief and the boxes.
  2. Decide pending overrides (Overrides).
  3. Sign off rules waiting for you (Rules and sign-off).
  4. Work the overdue and blocking violations first (Violations).
  5. Review new surveillance alerts (Surveillance).
  • Violations Pre-trade blocks, in-trade halts and post-trade breaches, each with an owner, a due date and a history: open, acknowledged, resolved, waived or escalated.
  • Overrides of soft warnings A soft warning holds the order until someone writes a reason; above the firm's threshold, Compliance decides (four eyes).
  • Rules, the test bench and sign-off The list of rules, a rule's page with its restatement and test bench, and how a rule is signed off, sent back, changed or retired.
  • Compliance reports Periodic compliance reports: facts counted from the records, a narrative drafted by the AI, edited and finalized by Compliance, with a PDF.
  • Surveillance alerts Deterministic detectors for wash trades, spoofing patterns and restricted-list hits, plus cross-component alerts; review, narrate and close them.

Do it with the API

Every action on this screen can also be done by your own systems, under the same permissions. See Authentication to get a token.

Paper trading only: orders and fills in Vestoris are simulated. Nothing here is investment advice.