Skip to main content

Feature Pack: YU05-post-trade-compliance

linux/mac support windows support

Status: Implemented Track: architecture Lineage role: optional Previous state: YU04-durable-control-feeds

This pack bundles four back-office/compliance capabilities that all consume the journal's executed-fill stream as their common source of truth: post-trade settlement + reconciliation (including full-history orphan detection), regulatory reporting (CAT/TRACE-style), TCA (transaction cost analysis), and real JWT auth/entitlements as the access-control layer gating the other three.

Primary intent:

  • give a booked trade a real settlement lifecycle and a deterministic id linking its MariaDB row to the journal fill that produced it,
  • reconcile the read-model projection against the authoritative journal; both a forward sweep and an on-demand full-history orphan sweep,
  • expose a reproducible, journal-sourced regulatory audit export and per-trade TCA, never from the projection and never on the hot path,
  • gate every new endpoint behind a real HS256-verified JWT with account-entitlement or admin checks.

Core artifacts:

  • spec.md
  • requirements/functional-delta.md
  • requirements/nonfunctional-delta.md
  • research.md
  • data-model.md
  • quickstart.md
  • contracts/contract-delta.md
  • system/architecture.model.json
  • system/architecture.md
  • system/runtime-topology.md
  • system/messaging-subject-map.md
  • system/adr-022-deterministic-trade-identity-and-settlement-recon.md
  • system/adr-023-journal-sourced-regulatory-reporting.md
  • system/adr-024-pluggable-tca-benchmark-source.md
  • system/adr-025-oidc-entitlements-gate-post-trade-apis.md
  • generation/generation-hook.md
  • generation/implementation-status.md

Target runtime behavior:

  • order-matcher hosts the replay-safe trade blotter, the shadow-replay full-history reindex and regulatory report, and its own JWT authenticator.
  • trade-processor hosts settlement, reconciliation, TCA, dev-token minting, and its own JWT authenticator.
  • Everything else (deploy/runtime harness, BLP admission pipeline, observability stack) is inherited unchanged from YU04-durable-control-feeds.