Help center › Compliance

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.

The list

Every rule with what the engine enforces (the restatement), severity, status (Draft, Pending approval, Active, Retired, Superseded) and version; AI draft marks rules the AI drafted. Buttons: + Write a rule, Advanced form, Rule register.

A rule's page

• What was written: the author's words.
• What the engine will enforce: generated from the structured rule by Vestoris' template for the rule type, not by the AI. Anything the AI interpreted is flagged ("The AI flagged: Read "energy exposure" as the Energy sector…").
• Structured definition SHA-256: the fingerprint of the exact version.
• Test bench: required before sign-off.
• Sign-off, Excuse an account, Versions, Sign-offs and Violations of this rule.

The test bench

The draft is run by the same engine code as live checks, against today's holdings of every account in scope and the orders of the last days (choose how many, Run again). It shows the accounts in scope, which are in breach right now, the order allocations checked, and what it would have blocked or warned on, account by account.

Sign off

1. Open the rule (Compliance dashboard › Waiting for you, or the list).
2. Read the restatement and the test bench. You approve exactly this definition (its SHA-256), its restatement and the test-bench result shown.
3. Write the reason for approving, choose Effective (now, or a date and time in UTC), confirm with your password (demo personas type APPROVE) and press Approve and sign off.

The approval records who, when, why, the exact version, the original wording, the restatement and the test-bench result, and goes into the hash-chained event log. Four eyes: the author never signs off their own rule (unless the firm allows a single Compliance user, which the register marks).

Send back: write comments and press Send back; the draft returns to its author.

Change or retire a rule

• Change this rule drafts a new version, shown as a diff of the structured rule and of the restatements. It goes through the test bench and sign-off; the old version stays in force until the new one takes over.
• Ask to retire needs a sign-off too.

Excuse an account

On an active rule, pick an account under Excuse an account, write the reason and press Add exception. The exception applies to every version of the rule and is in the event log.

The advanced form

Advanced form (/app/compliance/rules/new) is the structured editor: rule type, name, parameters as JSON (the parameters of the chosen type are listed under the box), applies to (every account, groups, accounts or packages), severity, and when it runs (before each order, on every executed slice, end-of-day check). It is validated against the rule type's schema and saved as a draft.

Related articles

• Writing a rule in plain English Write a rule the way you would say it; the AI conforms it to a rule type or asks a question; code restates it; a test bench and a sign-off follow. Rules can also be extracted from a mandate.
• The compliance engine and rule types How rules are scoped, how severe they are, when they run, and the 25 rule types the engine enforces.
• 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.
• Packages, account groups and lists Rule packages (mandate templates) and their assignments, account groups, restricted, watch and exclusion lists, and rule exceptions.
• 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.

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.

• GET/api/v1/compliance/rules Rules (every version)
• GET/api/v1/compliance/rules/{id} One rule version with restatement and test bench
• GET/api/v1/compliance/rules/{id}/versions Every version of the rule's lineage
• POST/api/v1/compliance/rules/{id}/test-bench Run the test bench (202: a job)
• POST/api/v1/compliance/rules/{id}/submit Submit for sign-off
• GET/api/v1/compliance/rules/{id}/sign-off What you would sign off, with a confirmation token for X-Vestoris-Confirm
• POST/api/v1/compliance/rules/{id}/sign-off Sign off (a person, never client credentials; X-Vestoris-Confirm)
• POST/api/v1/compliance/rules/{id}/reject Send back to the author with comments
• POST/api/v1/compliance/rules/{id}/retire Ask for an active rule to be retired (signed off like a change)
• PATCH/api/v1/compliance/rules/{id} Change a draft (If-Match)

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