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Help center › Compliance

Overrides of soft warnings

A soft warning holds the order until someone writes a reason; above the firm's threshold, Compliance decides (four eyes).

At a glance

Where
Compliance › Overrides (/app/compliance/overrides)
Who
The requester (with trade or propose) writes the reason; Compliance (approve overrides) decides overrides above the threshold, never their own. Roles and permissions

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

On this page
Overrides
Override requests with the order, its value, who asked, the reason and the decision.

How an override works

  1. An order hits a soft warning (for example a watch-list name) and goes to Compliance hold.
  2. The trader or portfolio manager opens the order, writes the reason under Override the soft warning and presses Record the override.
  3. At or below the firm's override threshold (Compliance approves overrides above ($) in Firm settings), the order continues: approval if needed, then release.
  4. Above the threshold the override waits on Compliance › Overrides. A Compliance user who is not the requester presses Approve or Reject. Every decision re-runs the pre-trade check.

Hard blocks cannot be overridden.

Fields

ColumnMeaning
OrderThe order and its side and symbol.
ValueThe order's value, compared with the threshold.
Asked byWho wrote the reason, and when.
ReasonThe written reason (kept with the order and in the event log).
Statuspending, approved or rejected.

Tips

  • A workflow rule can change who decides overrides or auto-approve small ones (Workflow rules); the default rule reproduces the firm threshold.
  • An order that was overridden is never auto-approved by a workflow rule.
  • Orders and the order list The life cycle of a (simulated) order, from proposed to filled, and the order list and order page where you act on it.
  • 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.
  • 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.
  • Firm settings The thresholds that decide when a person must approve, AI use and retention, surveillance parameters and rule sign-off.
  • Workflow rules Conditions and actions that decide approvals, queues, assignment, priority and SLAs; drafted in a sentence or a form, replayed on a test bench, signed off by an Admin (and Compliance when weaker).

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.