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Help center › Compliance

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.

At a glance

Where
Compliance › Violations (/app/compliance/violations)
Who
Everyone sees violations on the accounts they may view; Compliance works them (review compliance). Roles and permissions

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

On this page
The violations list
Unresolved violations with their kind, account, rule, status, owner and due date.

Kinds

  • Pretrade: an order the pre-trade check blocked or warned on.
  • Intrade: a slice that would have breached a rule (the order stopped).
  • Posttrade active: a breach in holdings caused by a trade.
  • Posttrade passive: a breach caused by prices, lists or rules moving; the account did not trade the security in the last day.

Filter by Unresolved, Open, Acknowledged, Waived or All, and by kind and severity (pretrade, intrade, posttrade, block, warn, info, active, passive, overdue). Run the post-trade check runs it now; Triage asks the AI for a suggested order to work them in.

Work a violation

A violation
The account, rule, what is breached, owner, due date, history, and the transition form.
  1. Open it: account, rule, what is breached, when it was opened and last seen, owner and due date, and the history.
  2. Under Move to, choose Acknowledged (you are on it), Resolved (fixed), Waived or Escalated; set the owner and the due date.
  3. Write a note: required to waive or escalate.

A post-trade breach that disappears (the position was sold, the price moved back) resolves itself on the next check.

Life cycle and timing

open → acknowledged → resolved, waived (with a reason) or escalated. Each stage is a workflow item with an SLA (by default 4 hours open, 1 day acknowledged, 8 hours escalated), so late violations are escalated automatically (Desks and SLAs). Blocking violations are urgent in the demo's workflow rules.

Tips

  • Fix a passive breach with a sale: a sale that reduces a passive breach is allowed by the pre-trade check.
  • Webhook events violation.created and violation.updated notify your systems.
  • The compliance dashboard Unresolved violations by severity, kind and age; what waits for your sign-off; and the daily compliance brief.
  • 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.
  • Overrides of soft warnings A soft warning holds the order until someone writes a reason; above the firm's threshold, Compliance decides (four eyes).
  • The workflow monitor Everything in flight that waits on a person, with its stage, owner, age, SLA, what blocks it and the next action; claim, reassign, escalate and comment.

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.