Help center › Compliance

Packages, account groups and lists

Rule packages (mandate templates) and their assignments, account groups, restricted, watch and exclusion lists, and rule exceptions.

Rule packages

A package is a mandate template ("Growth mandate", "Conservative", "ESG"): rules scoped to a package apply to every account or group it is assigned to, minus per-account exceptions. Each package shows its active rules, its mandate text, and where it is assigned.

• Assign: pick an account or a group and press Assign.
• Coverage review: the AI compares the mandate text with the package's rules and lists possible gaps (suggestions only).
• Extract rules from the mandate: drafts candidate rules from the package's mandate text (how).
• + Add package.

Account groups

Groups (e.g. Growth funds GRW-A and GRW-B) decide which packages apply. + Add group; membership can also be loaded from files (data set Account groups).

Restricted, watch and exclusion lists

• Restricted: may not be bought (a hard block).
• Exclusion (ESG, sanctions): may not be bought, and holding one is a breach.
• Watch: a warning only ("names the desk should look at twice").

Add a symbol with Add, remove it with ×. Rules that use a list enforce its current members at once. Lists can be loaded from files (data set Security lists); list entries have their own user-defined fields.

Rule exceptions

Accounts excused from a rule, with the reason. Add one on the rule's page (Excuse an account).

Related articles

• 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.
• 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.
• 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 loading center Load reference data, holdings and market data from a file or a folder: column mapping, deterministic validation, a diff before anything changes, apply and undo.

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/packages Rule packages and their assignments
• GET/api/v1/account-groups Account groups (members limited to the accounts you can see)
• POST/api/v1/account-groups Create an account group
• GET/api/v1/lists Restricted, watch and exclusion lists
• GET/api/v1/lists/{id} One list with its members
• POST/api/v1/lists/{id}/members Add securities to a list
• DELETE/api/v1/lists/{id}/members/{securityId} Remove a security from a list

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