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Compliance Engine

A compliance engine that can read any field is one nobody can bound. “What could this policy possibly depend on?” has to have a short answer, and adding to that answer has to be a reviewed decision rather than a configuration change.

One transaction boundaryThree stacked elements — a record, a rule and a ledger posting — enclosed by a single boundary, indicating that all three commit together or not at all.ONE TRANSACTION BOUNDARYRecordwhat is trueRulewhat is permittedPostingwhat it did to the bookscommit together

What it changes

  1. Rules are data, never codeA rule is a condition tree over roughly 25 declared attributes, validated at authoring with the path to any offending node. Nothing is ever evaluated as code.
  2. Defaults all point the same wayAn absent fact never satisfies a rule; a policy that matches nothing denies; and the first matching rule decides, so a later allow cannot undo an earlier reject.
  3. Decisions are replayableEvery decision is snapshotted with the policy version that produced it, so “why was this allowed” is answerable under the rules in force at the time rather than the rules in force when asked.
Ask, agree, then actThree steps. One person requests, a different person approves, and only then does the state change. The approval binds to what was requested, so editing it afterwards invalidates the sign-off.Requestone personApprovea different oneActnow it movesThe approval binds to what was asked.Edit it afterwards and the sign-off is void.
Every irreversible act on this platform takes this shape, whatever the subject of the page: one person asks, a different one agrees, and only then does anything move.
A compliance policy as ordered rulesRules are evaluated in sequence and the first match decides. A subject matching no rule is denied, and a fact the platform does not know never satisfies a rule.Subjectan investor's facts#1Screening hit is openreject#2Country in the blocked listreject#3Professional or institutional, verifiedallowMatched no ruledenyFirst matchdecides. A laterallow cannot undoan earlier reject.Eligibility comesfrom a rule saying so.
Rules are data, evaluated in sequence, and the first match decides. A subject matching nothing is denied — eligibility comes from a rule saying so, never from no rule objecting.

What it includes

Guided rule builderComparators and value controls driven by each attribute’s declared type.
Faithful editingThe editor refuses to open a rule it cannot represent exactly, because flattening a nested tree on save would change what the rule means.
Two-person publicationPublishing binds to a hash of the rules, so a fourth rule cannot be added to a three-rule draft after sign-off.
Jurisdiction packsConstraints per jurisdiction; an unreviewed pack cannot back a published policy.

Evidence, not assertion

Controls that have been verified running, rather than described.

  • A workspace with no published policy onboards nobody, and says exactly that.
  • Verification expiry is evaluated at the decision, not by a nightly job that may not have run.
  • Nothing can approve a verification on its own: with no provider adapter, the only path to approved is a named officer recording the evidence they reviewed.
What counts as evidenceThree rows. A control described in a document is unticked; a control enforced by code and one refused by the database are ticked. Only the second and third are evidence that something holds.Described in a documentEnforced by codeRefused by the database
A control written down is not a control. Only the two lower rows are evidence that something holds, and both are what the list beside this describes.

See it against something real.

Bring an instrument you are actually considering. Structuring it is the only way to judge whether the model fits.

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Your instrument, against this modelAn unspecified asset on the left feeds four stages: structure, compliance policy, the offering book and the register. The asset is drawn as an outline because it is the reader's, not the platform's.Your assetwhatever it isStructurePolicyBookRegister