mirror of
https://github.com/luxfi/broker.git
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zeekay
7b09f3d3d0
New pkg/pretrade implementing Gap G-37 (Stage 6.5): synchronous gate
at order-entry that fetches state from cap-table, transfer, AML, KYC,
and on-chain ERC-3643 compliance providers and decides allow / deny /
escalate. Each predicate is a composable internal function; the
Decision carries every actionable reason in a single round.
Wired into the broker order path via Wrap[Req, Resp] generic
middleware so existing router signatures stay untouched (additive,
forwards-only). GateError exposes the Decision to callers that surface
required actions to the investor.
Audit is delegated through AuditSink; canonical AuditLogSink bridges
to broker/pkg/audit. PII (ClientIP) is masked to /24 / /48 in the
audit row.
Test coverage: happy path, every hard-deny predicate (kyc_not_verified,
kyc_stale, not_accredited, accreditation_stale_{income,third_party},
suitability_{missing,stale}, aml_not_clean, open_sar,
ofac_screen_stale, lockup_active, rule144_holding_period,
country_restricted, max_holders, transfer_restricted,
chain_compliance_refused), every escalate predicate
(suitability_ambiguous, kyc_near_expiry, accreditation_near_expiry),
upstream-provider error propagation, input validation, max-holder
sell-side exemption, max-holder existing-holder exemption, PII
redaction. 41 tests passing under -race.
Source-of-design: Lux-Prior-IP
Source-ref: f7a8d7a
Clean-Team-Member: dev-agent (P0 G-37 implementation)
Signed-off-by: dev <[email protected]>
84 lines
2.0 KiB
Go
84 lines
2.0 KiB
Go
package pretrade
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import (
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"encoding/json"
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"github.com/luxfi/broker/pkg/audit"
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)
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// AuditLogSink adapts a *audit.Log into the local AuditSink. Use this
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// in production wiring; in tests pass a SliceSink.
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type AuditLogSink struct {
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Log *audit.Log
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}
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// RecordPreTrade writes a single audit entry per evaluation. The action
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// is the existing risk-decision channel ("route.decision") so existing
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// SIEM consumers see pre-trade decisions through one stream; the
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// Metadata map carries the structured decision payload.
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func (s *AuditLogSink) RecordPreTrade(d *Decision, o *Order) {
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if s == nil || s.Log == nil || d == nil {
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return
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}
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entry := audit.Entry{
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Action: audit.ActionRouteDecision,
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AccountID: o.AccountID,
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Symbol: o.Symbol,
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Side: o.Side,
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Qty: o.Qty,
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Price: o.Price,
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RequestID: o.RequestID,
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ClientIP: o.ClientIP,
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Status: statusFor(d),
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Metadata: map[string]interface{}{
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"investor_id": o.InvestorID,
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"offering_id": o.OfferingID,
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"token_address": o.TokenAddress,
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"country_code": o.CountryCode,
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"decision": marshal(d),
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"required_actions": d.RequiredActions,
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"latency_ns": d.LatencyNs,
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},
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}
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s.Log.Record(entry)
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}
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func statusFor(d *Decision) string {
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switch {
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case d.Allow:
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return "allow"
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case d.Deny:
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return "deny"
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case d.Escalate:
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return "escalate"
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default:
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return "unknown"
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}
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}
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func marshal(v interface{}) string {
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b, err := json.Marshal(v)
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if err != nil {
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return ""
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}
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return string(b)
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}
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// SliceSink collects decisions into a slice for unit tests. Not safe
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// for concurrent producers — use a Mutex if a concurrent test ever
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// needs it.
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type SliceSink struct {
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Entries []SliceEntry
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}
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// SliceEntry is one captured pre-trade decision.
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type SliceEntry struct {
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Decision *Decision
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Order *Order
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}
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// RecordPreTrade satisfies the AuditSink interface.
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func (s *SliceSink) RecordPreTrade(d *Decision, o *Order) {
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s.Entries = append(s.Entries, SliceEntry{Decision: d, Order: o})
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}
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