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Help center › Compliance

Compliance reports

Periodic compliance reports: facts counted from the records, a narrative drafted by the AI, edited and finalized by Compliance, with a PDF.

At a glance

Where
Compliance › Reports (/app/compliance/reports)
Who
Compliance (review compliance). Roles and permissions

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

Compliance reports
Draft a report for a period; drafts and final reports are listed below.

Step by step

  1. Compliance › Reports: choose From and To and press Draft.
  2. Vestoris counts the facts of the period from the records (rule changes and sign-offs, violations by kind and status, overrides, surveillance alerts, access reviews). The AI drafts the narrative from those facts only (marked AI); without the AI a standard text is used.
  3. Open the draft, edit the text, and finalize it: the text is frozen and fingerprinted (SHA-256).
  4. Download the PDF.

Over the API, POST /compliance/reports answers 202 with a job; poll GET /jobs/{id}.

  • The compliance dashboard Unresolved violations by severity, kind and age; what waits for your sign-off; and the daily compliance brief.
  • The rule register Every rule with its original wording, what is enforced, its versions, sign-offs with their test bench, and its violations; a PDF for auditors.
  • Surveillance alerts Deterministic detectors for wash trades, spoofing patterns and restricted-list hits, plus cross-component alerts; review, narrate and close them.
  • The event log Every action from every component, append-only and hash-chained; filter it, open a row, and verify the chain.

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.