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Help center › Compliance

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.

At a glance

Where
Compliance › Rule register (/app/compliance/register)
Who
Everyone can read it; the API needs compliance:reports:read. Roles and permissions

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

The rule register
Each rule's wording, restatement, definition fingerprint, versions and sign-offs.

For each rule:

  • name, version, status and severity;
  • Original wording and Restatement (what is enforced);
  • the definition fingerprint (SHA-256), the effective date, the number of versions and violations (and how many are open);
  • Sign-offs, each with who, when, why and the test-bench result the rule was approved with; sign-offs by a single Compliance user are marked.

Download PDF for auditors writes the whole register as a PDF. Over the API, GET /api/v1/compliance/register returns it as JSON, or as a PDF with ?format=pdf.

Use it to answer "what did we enforce on this date, who approved it and on what evidence". The underlying events are in the hash-chained event log.

  • 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.
  • 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 event log Every action from every component, append-only and hash-chained; filter it, open a row, and verify the chain.
  • Compliance reports Periodic compliance reports: facts counted from the records, a narrative drafted by the AI, edited and finalized by Compliance, with a PDF.

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.