Compliance API Documentation

Based on OpenAPI specification: compliance.yaml

Executive Summary

Audience: Stakeholders

The Compliance Service provides comprehensive regulatory compliance management for the Quub Exchange platform, enabling secure and compliant digital asset trading across multiple jurisdictions. This service automates KYC verification, investor accreditation, and token whitelist enforcement while maintaining strict audit trails and organizational segregation.

Key Business Value:

Regulatory Compliance: Automated KYC/AML processes across US, EU, UAE, and VARA jurisdictions
Risk Mitigation: Real-time risk scoring and whitelist enforcement prevents unauthorized trading
Operational Efficiency: Streamlined accreditation workflows reduce manual review time by 80%
Audit Readiness: Complete audit trails ensure regulatory reporting compliance
Multi-Jurisdiction Support: Unified compliance framework across global markets

Service Overview

Audience: All

Business Purpose:

Automate KYC/AML verification processes for individual and entity investors
Manage investor accreditation under multiple regulatory regimes (SEC Rule 501, EU Professional Investor, UAE FSRA, VARA)
Enforce token trading whitelists to prevent unauthorized asset transactions
Provide comprehensive audit trails for regulatory reporting and compliance reviews
Support organizational segregation for multi-tenant compliance isolation

Technical Architecture:

RESTful API with OAuth 2.0 and API key authentication
Multi-tenant architecture with organization-level data isolation
Event-driven architecture for real-time compliance monitoring
Integration with external KYC providers and regulatory databases
Comprehensive audit logging with immutable compliance records
Risk scoring engine with configurable thresholds and alerts

API Specifications

Audience: Technical

Base Configuration:

openapi: 3.1.0
info:
  title: Quub Exchange - Compliance Service
  version: 2.0.0
servers:
  - url: https://api.quub.exchange/v2
  - url: https://api.sandbox.quub.exchange/v2

Authentication & Authorization:

OAuth 2.0 with scopes: read:compliance, write:compliance
API key authentication for service-to-service calls
Organization-level access control with tenant isolation
Role-based permissions for compliance officers and administrators

Core Endpoints

Audience: Technical + Project Teams

KYC Case Management

GET /orgs/{orgId}/kyc/cases

Business Use Case: Retrieve paginated list of KYC cases for compliance review and monitoring
Request Example:

GET /orgs/123e4567-e89b-12d3-a456-426614174000/kyc/cases?status=PENDING&limit=50
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000

Response Example:

{
  "data": [
    {
      "id": "456e7890-e89b-12d3-a456-426614174001",
      "orgId": "123e4567-e89b-12d3-a456-426614174000",
      "accountId": "789e0123-e89b-12d3-a456-426614174002",
      "type": "PERSON",
      "status": "PENDING",
      "riskScore": 25.5,
      "evidenceUrls": ["https://storage.quub.exchange/kyc/evidence_001.pdf"],
      "createdAt": "2025-11-02T10:00:00Z",
      "updatedAt": "2025-11-02T10:00:00Z"
    }
  ],
  "pagination": {
    "cursor": "eyJpZCI6IjQ1NmU3ODkwLWU4OWItMTJkMy1hNDU2LTQyNjYxNDE3NDAwMSJ9",
    "hasMore": true,
    "limit": 50
  }
}

Implementation Notes:
- Supports filtering by accountId, status, and pagination
- Risk scores range from 0-100 with configurable thresholds
- Evidence URLs point to secure document storage
- Audit trail maintained for all case status changes

POST /orgs/{orgId}/kyc/cases

Business Use Case: Initiate new KYC verification process for investor onboarding
Request Example:

POST /orgs/123e4567-e89b-12d3-a456-426614174000/kyc/cases
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000
X-Idempotency-Key: kyc-case-789e0123-001

{
  "accountId": "789e0123-e89b-12d3-a456-426614174002",
  "type": "PERSON",
  "evidenceUrls": [
    "https://storage.quub.exchange/kyc/id_document.pdf",
    "https://storage.quub.exchange/kyc/proof_of_address.pdf"
  ]
}

Response Example:

{
  "data": {
    "id": "456e7890-e89b-12d3-a456-426614174001",
    "orgId": "123e4567-e89b-12d3-a456-426614174000",
    "accountId": "789e0123-e89b-12d3-a456-426614174002",
    "type": "PERSON",
    "status": "PENDING",
    "riskScore": null,
    "evidenceUrls": [
      "https://storage.quub.exchange/kyc/id_document.pdf",
      "https://storage.quub.exchange/kyc/proof_of_address.pdf"
    ],
    "createdAt": "2025-11-02T10:30:00Z",
    "updatedAt": "2025-11-02T10:30:00Z"
  }
}

Implementation Notes:
- Idempotency key prevents duplicate case creation
- Supports both individual (PERSON) and entity (ENTITY) KYC
- Evidence documents uploaded to secure storage before case creation
- Automatic risk scoring initiated upon case creation

PATCH /orgs/{orgId}/kyc/cases/{caseId}

Business Use Case: Update KYC case status and risk assessment during compliance review
Request Example:

PATCH /orgs/123e4567-e89b-12d3-a456-426614174000/kyc/cases/456e7890-e89b-12d3-a456-426614174001
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000

{
  "status": "APPROVED",
  "riskScore": 15.2,
  "reviewer": "compliance.officer@quub.exchange"
}

Response Example:

{
  "data": {
    "id": "456e7890-e89b-12d3-a456-426614174001",
    "orgId": "123e4567-e89b-12d3-a456-426614174000",
    "accountId": "789e0123-e89b-12d3-a456-426614174002",
    "type": "PERSON",
    "status": "APPROVED",
    "riskScore": 15.2,
    "evidenceUrls": [
      "https://storage.quub.exchange/kyc/id_document.pdf",
      "https://storage.quub.exchange/kyc/proof_of_address.pdf"
    ],
    "createdAt": "2025-11-02T10:30:00Z",
    "updatedAt": "2025-11-02T11:15:00Z"
  }
}

Implementation Notes:
- Status transitions: PENDING → APPROVED/REJECTED
- Risk score updates trigger automated alerts if above threshold
- Reviewer field tracks compliance officer accountability
- All updates logged in audit trail

Investor Accreditation

GET /orgs/{orgId}/accreditations

Business Use Case: List investor accreditations for regulatory compliance monitoring
Request Example:

GET /orgs/123e4567-e89b-12d3-a456-426614174000/accreditations?regime=US_SEC_RULE501&status=APPROVED
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000

Response Example:

{
  "data": [
    {
      "id": "567e8901-e89b-12d3-a456-426614174003",
      "orgId": "123e4567-e89b-12d3-a456-426614174000",
      "accountId": "789e0123-e89b-12d3-a456-426614174002",
      "regime": "US_SEC_RULE501",
      "status": "APPROVED",
      "expiresAt": "2026-11-02T00:00:00Z",
      "docs": [
        "https://storage.quub.exchange/accreditation/sec_rule501_cert.pdf"
      ],
      "createdAt": "2025-11-02T09:00:00Z"
    }
  ],
  "pagination": {
    "hasMore": false,
    "limit": 50
  }
}

Implementation Notes:
- Supports filtering by regime and status
- Automatic expiration monitoring and alerts
- Multi-jurisdiction support (US, EU, UAE, VARA)
- Document storage integration for accreditation proofs

POST /orgs/{orgId}/accreditations

Business Use Case: Create new investor accreditation for regulatory compliance
Request Example:

POST /orgs/123e4567-e89b-12d3-a456-426614174000/accreditations
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000
X-Idempotency-Key: accreditation-789e0123-001

{
  "accountId": "789e0123-e89b-12d3-a456-426614174002",
  "regime": "US_SEC_RULE501",
  "expiresAt": "2026-11-02T00:00:00Z",
  "docs": [
    "https://storage.quub.exchange/accreditation/sec_rule501_cert.pdf",
    "https://storage.quub.exchange/accreditation/financial_statements.pdf"
  ]
}

Response Example:

{
  "data": {
    "id": "567e8901-e89b-12d3-a456-426614174003",
    "orgId": "123e4567-e89b-12d3-a456-426614174000",
    "accountId": "789e0123-e89b-12d3-a456-426614174002",
    "regime": "US_SEC_RULE501",
    "status": "PENDING",
    "expiresAt": "2026-11-02T00:00:00Z",
    "docs": [
      "https://storage.quub.exchange/accreditation/sec_rule501_cert.pdf",
      "https://storage.quub.exchange/accreditation/financial_statements.pdf"
    ],
    "createdAt": "2025-11-02T11:30:00Z"
  }
}

Implementation Notes:
- Accreditation starts in PENDING status requiring review
- Expiration dates automatically monitored
- Document verification required for approval
- Regime-specific validation rules applied

Token Whitelist Management

GET /orgs/{orgId}/whitelist

Business Use Case: Retrieve whitelist entries to verify trading permissions
Request Example:

GET /orgs/123e4567-e89b-12d3-a456-426614174000/whitelist?tokenClassId=890e1234-e89b-12d3-a456-426614174004&status=APPROVED
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000

Response Example:

{
  "data": [
    {
      "id": "678e9012-e89b-12d3-a456-426614174005",
      "orgId": "123e4567-e89b-12d3-a456-426614174000",
      "tokenClassId": "890e1234-e89b-12d3-a456-426614174004",
      "walletId": "901e2345-e89b-12d3-a456-426614174006",
      "accountId": "789e0123-e89b-12d3-a456-426614174002",
      "status": "APPROVED",
      "reasons": [
        "Qualified Institutional Investor",
        "SEC Rule 501 Accredited"
      ],
      "createdAt": "2025-11-02T08:00:00Z"
    }
  ],
  "pagination": {
    "hasMore": false,
    "limit": 50
  }
}

Implementation Notes:
- Critical for preventing unauthorized token trading
- Links wallets to approved token classes
- Supports bulk whitelist operations
- Real-time validation during trade execution

POST /orgs/{orgId}/whitelist

Business Use Case: Add new whitelist entry to enable token trading permissions
Request Example:

POST /orgs/123e4567-e89b-12d3-a456-426614174000/whitelist
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000
X-Idempotency-Key: whitelist-890e1234-001

{
  "tokenClassId": "890e1234-e89b-12d3-a456-426614174004",
  "walletId": "901e2345-e89b-12d3-a456-426614174006",
  "accountId": "789e0123-e89b-12d3-a456-426614174002",
  "reasons": [
    "Qualified Institutional Investor",
    "SEC Rule 501 Accredited"
  ]
}

Response Example:

{
  "data": {
    "id": "678e9012-e89b-12d3-a456-426614174005",
    "orgId": "123e4567-e89b-12d3-a456-426614174000",
    "tokenClassId": "890e1234-e89b-12d3-a456-426614174004",
    "walletId": "901e2345-e89b-12d3-a456-426614174006",
    "accountId": "789e0123-e89b-12d3-a456-426614174002",
    "status": "APPROVED",
    "reasons": ["Qualified Institutional Investor", "SEC Rule 501 Accredited"],
    "createdAt": "2025-11-02T12:00:00Z"
  }
}

Implementation Notes:
- Immediate approval for pre-verified investors
- Reasons field documents compliance justification
- Prevents duplicate entries with conflict detection
- Audit trail for all whitelist changes

PATCH /orgs/{orgId}/whitelist/{entryId}

Business Use Case: Revoke whitelist permissions for compliance violations
Request Example:

PATCH /orgs/123e4567-e89b-12d3-a456-426614174000/whitelist/678e9012-e89b-12d3-a456-426614174005
Authorization: Bearer eyJhbGciOiJIUzI1NiIsInR5cCI6IkpXVCJ9...
X-Org-Id: 123e4567-e89b-12d3-a456-426614174000

{
  "status": "REVOKED"
}

Response Example:

{
  "data": {
    "id": "678e9012-e89b-12d3-a456-426614174005",
    "orgId": "123e4567-e89b-12d3-a456-426614174000",
    "tokenClassId": "890e1234-e89b-12d3-a456-426614174004",
    "walletId": "901e2345-e89b-12d3-a456-426614174006",
    "accountId": "789e0123-e89b-12d3-a456-426614174002",
    "status": "REVOKED",
    "reasons": ["Qualified Institutional Investor", "SEC Rule 501 Accredited"],
    "createdAt": "2025-11-02T12:00:00Z"
  }
}

Implementation Notes:
- Immediate trading restriction upon revocation
- Audit trail captures revocation reason
- Supports re-approval workflow
- Triggers compliance alerts for monitoring

Security Implementation

Audience: Technical + Project Teams

Multi-tenant Isolation:

# Organization-level data segregation
components:
  parameters:
    orgId:
      name: orgId
      in: path
      required: true
      schema:
        type: string
        format: uuid
      description: Organization identifier for tenant isolation

Data Protection measures:

End-to-end encryption for sensitive KYC documents
Secure document storage with access controls
PII data masking in audit logs
Compliance data retention policies
GDPR and CCPA compliance frameworks

Access Controls:

{
  "oauth2_scopes": {
    "read:compliance": "Read compliance data and cases",
    "write:compliance": "Create and update compliance records"
  },
  "role_permissions": {
    "compliance_officer": ["read:compliance", "write:compliance"],
    "auditor": ["read:compliance"],
    "investor": []
  }
}

Business Workflows

Audience: Stakeholders + Project Teams

Primary Workflow — Investor Onboarding & Accreditation

graph TD
    A[Investor Registration] --> B[KYC Case Creation]
    B --> C[Document Upload]
    C --> D[Risk Assessment]
    D --> E{Approval Required?}
    E -->|Yes| F[Compliance Review]
    E -->|No| G[Auto-Approval]
    F --> H[Accreditation Check]
    G --> H
    H --> I[Whitelist Creation]
    I --> J[Trading Enabled]

Business Value:

90% Faster Onboarding: Automated workflows reduce manual review time
Regulatory Compliance: Multi-jurisdiction accreditation support
Risk Mitigation: Real-time whitelist enforcement prevents unauthorized trading
Audit Trail: Complete compliance history for regulatory reporting

Success Metrics:

KYC approval time: < 24 hours for standard cases
Accreditation processing: < 1 hour for pre-verified investors
False positive rate: < 0.1% for automated approvals
Regulatory audit compliance: 100%

Secondary Workflow — Compliance Monitoring & Alerts

graph TD
    A[Trading Activity] --> B[Whitelist Validation]
    B --> C{Authorized?}
    C -->|No| D[Trade Blocked]
    C -->|Yes| E[Risk Scoring]
    E --> F{High Risk?}
    F -->|Yes| G[Enhanced Monitoring]
    F -->|No| H[Normal Processing]
    G --> I[Compliance Alert]
    I --> J[Manual Review]

Business Value:

Real-time Protection: Immediate blocking of unauthorized trades
Proactive Monitoring: Risk-based enhanced due diligence
Operational Efficiency: Automated compliance checks reduce manual oversight
Regulatory Reporting: Automated alerts for suspicious activity

Success Metrics:

Unauthorized trades blocked: 100% prevention rate
False positive alerts: < 5% of total trades
Response time to alerts: < 15 minutes average
Compliance violation detection: > 99.9% accuracy

Integration Guide

Audience: Project Teams

Development Setup:

# Clone repository and install dependencies
git clone https://github.com/quub-fi/quub-exchange-docs.git
cd quub-exchange-docs

# Install Node.js dependencies for API testing
npm install axios jest supertest

# Set up environment variables
export QUUB_API_KEY="your-api-key"
export QUUB_BASE_URL="https://api.sandbox.quub.exchange/v2"

JavaScript/Node.js Code Examples:

const axios = require("axios");

// Create KYC case
async function createKycCase(orgId, accountId, evidenceUrls) {
  try {
    const response = await axios.post(
      `/orgs/${orgId}/kyc/cases`,
      {
        accountId,
        type: "PERSON",
        evidenceUrls,
      },
      {
        baseURL: process.env.QUUB_BASE_URL,
        headers: {
          Authorization: `Bearer ${process.env.QUUB_API_KEY}`,
          "X-Org-Id": orgId,
          "X-Idempotency-Key": `kyc-${accountId}-${Date.now()}`,
        },
      }
    );
    return response.data;
  } catch (error) {
    console.error("KYC case creation failed:", error.response.data);
    throw error;
  }
}

// Check whitelist status
async function checkWhitelistStatus(orgId, tokenClassId, walletId) {
  try {
    const response = await axios.get(`/orgs/${orgId}/whitelist`, {
      baseURL: process.env.QUUB_BASE_URL,
      headers: {
        Authorization: `Bearer ${process.env.QUUB_API_KEY}`,
        "X-Org-Id": orgId,
      },
      params: {
        tokenClassId,
        walletId,
        status: "APPROVED",
      },
    });
    return response.data.data.length > 0;
  } catch (error) {
    console.error("Whitelist check failed:", error.response.data);
    return false;
  }
}

Python Code Examples:

import requests
import uuid
from datetime import datetime, timedelta

class QuubComplianceClient:
    def __init__(self, api_key: str, base_url: str, org_id: str):
        self.api_key = api_key
        self.base_url = base_url
        self.org_id = org_id
        self.session = requests.Session()
        self.session.headers.update({
            'Authorization': f'Bearer {api_key}',
            'X-Org-Id': org_id,
            'Content-Type': 'application/json'
        })

    def create_accreditation(self, account_id: str, regime: str) -> dict:
        """Create investor accreditation"""
        url = f"{self.base_url}/orgs/{self.org_id}/accreditations"
        payload = {
            "accountId": account_id,
            "regime": regime,
            "expiresAt": (datetime.utcnow() + timedelta(days=365)).isoformat() + "Z"
        }

        response = self.session.post(url, json=payload)
        response.raise_for_status()
        return response.json()

    def list_kyc_cases(self, status: str = None, limit: int = 50) -> dict:
        """List KYC cases with optional filtering"""
        url = f"{self.base_url}/orgs/{self.org_id}/kyc/cases"
        params = {"limit": limit}
        if status:
            params["status"] = status

        response = self.session.get(url, params=params)
        response.raise_for_status()
        return response.json()

# Usage example
client = QuubComplianceClient(
    api_key="your-api-key",
    base_url="https://api.sandbox.quub.exchange/v2",
    org_id="123e4567-e89b-12d3-a456-426614174000"
)

# Create accreditation
accreditation = client.create_accreditation(
    account_id="789e0123-e89b-12d3-a456-426614174002",
    regime="US_SEC_RULE501"
)

# List pending KYC cases
pending_cases = client.list_kyc_cases(status="PENDING")

Testing Strategy:

// Unit tests for compliance integration
describe("Quub Compliance API", () => {
  test("should create KYC case successfully", async () => {
    const kycCase = await createKycCase(
      "123e4567-e89b-12d3-a456-426614174000",
      "789e0123-e89b-12d3-a456-426614174002",
      ["https://example.com/doc1.pdf"]
    );

    expect(kycCase.data).toHaveProperty("id");
    expect(kycCase.data.status).toBe("PENDING");
  });

  test("should handle whitelist validation", async () => {
    const isWhitelisted = await checkWhitelistStatus(
      "123e4567-e89b-12d3-a456-426614174000",
      "890e1234-e89b-12d3-a456-426614174004",
      "901e2345-e89b-12d3-a456-426614174006"
    );

    expect(typeof isWhitelisted).toBe("boolean");
  });
});

Error Handling

Audience: Technical + Project Teams

Standard Error Response:

{
  "error": {
    "code": "VALIDATION_ERROR",
    "message": "Invalid accreditation regime",
    "details": {
      "field": "regime",
      "value": "INVALID_REGIME",
      "allowedValues": [
        "US_SEC_RULE501",
        "EU_PROF_INVESTOR",
        "UAE_FSRA",
        "VARA"
      ]
    }
  }
}

Error Codes Reference:

Code	HTTP Status	Description	Resolution
`VALIDATION_ERROR`	400	Invalid request data	Check field validation rules
`UNAUTHORIZED`	401	Authentication failed	Verify API key or OAuth token
`FORBIDDEN`	403	Insufficient permissions	Check OAuth scopes and roles
`NOT_FOUND`	404	Resource not found	Verify resource IDs
`CONFLICT`	409	Resource already exists	Use different idempotency key
`RATE_LIMITED`	429	Too many requests	Implement exponential backoff
`INTERNAL_ERROR`	500	Server error	Retry with exponential backoff

Error Handling Best Practices:

async function handleComplianceApiCall(apiCall) {
  try {
    const result = await apiCall();
    return result;
  } catch (error) {
    switch (error.response?.status) {
      case 400:
        // Validation error - check request data
        console.error("Validation error:", error.response.data.details);
        throw new ValidationError(error.response.data.details);

      case 401:
        // Auth error - refresh token or re-authenticate
        console.error("Authentication failed");
        await refreshAuthToken();
        return apiCall(); // Retry once

      case 403:
        // Permission error - check user roles
        console.error("Insufficient permissions for compliance operation");
        throw new PermissionError("Compliance access denied");

      case 409:
        // Conflict - resource exists
        console.warn("Resource already exists, skipping creation");
        return null;

      case 429:
        // Rate limited - exponential backoff
        const delay = Math.pow(2, attempt) * 1000;
        await new Promise((resolve) => setTimeout(resolve, delay));
        return apiCall();

      default:
        // Server or network error
        console.error("Compliance API error:", error.message);
        throw error;
    }
  }
}

Implementation Checklist

Audience: Project Teams

Pre-Development:

Review regulatory requirements for target jurisdictions
Set up secure document storage integration
Configure OAuth 2.0 scopes and API keys
Design KYC document collection workflow
Define risk scoring thresholds and alert rules
Set up compliance officer role permissions

Development Phase:

Implement KYC case creation and management endpoints
Build accreditation regime validation logic
Develop whitelist enforcement middleware
Create audit logging for all compliance actions
Implement multi-tenant data isolation
Add comprehensive input validation and sanitization
Build error handling and retry mechanisms

Testing Phase:

Unit tests for all API endpoints (100% coverage)
Integration tests with document storage systems
Load testing for concurrent KYC case processing
Security testing for data isolation and access controls
End-to-end testing of complete onboarding workflow
Performance testing under high compliance check volume
Regulatory compliance validation testing

Production Readiness:

Configure production OAuth 2.0 and API credentials
Set up monitoring and alerting for compliance violations
Implement backup and disaster recovery procedures
Configure audit log retention and archival policies
Train compliance officers on system usage
Establish incident response procedures for compliance breaches
Set up regular security audits and penetration testing

Monitoring & Observability

Audience: Technical + Project Teams

Key Metrics:

KYC Processing Time: Average time from case creation to approval (target: < 24 hours)
Approval Rate: Percentage of KYC cases approved (target: > 85%)
False Positive Rate: Invalid rejections of valid applications (target: < 2%)
Whitelist Hit Rate: Percentage of trades validated against whitelist (target: 100%)
API Response Time: 95th percentile response time (target: < 500ms)
Error Rate: Percentage of failed API requests (target: < 1%)

Logging Requirements:

{
  "timestamp": "2025-11-02T10:30:00Z",
  "level": "INFO",
  "service": "compliance",
  "operation": "kyc_case_update",
  "orgId": "123e4567-e89b-12d3-a456-426614174000",
  "caseId": "456e7890-e89b-12d3-a456-426614174001",
  "accountId": "789e0123-e89b-12d3-a456-426614174002",
  "changes": {
    "status": { "from": "PENDING", "to": "APPROVED" },
    "riskScore": { "from": null, "to": 15.2 }
  },
  "reviewer": "compliance.officer@quub.exchange",
  "ipAddress": "192.168.1.100",
  "userAgent": "Quub-Compliance/2.0.0"
}

Alerting Configuration:

alerts:
  - name: High Risk KYC Cases
    condition: risk_score > 80
    severity: critical
    channels: [email, slack]

  - name: Accreditation Expiring
    condition: expires_at < now() + 30 days
    severity: warning
    channels: [email]

  - name: Whitelist Violations
    condition: unauthorized_trade_attempts > 0
    severity: critical
    channels: [email, slack, pager]

  - name: API Error Rate
    condition: error_rate > 5%
    severity: warning
    channels: [slack]

API Versioning & Evolution

Audience: All

Current Version (v2.0.0):

Multi-jurisdiction accreditation support
Enhanced risk scoring with configurable thresholds
Real-time whitelist validation
Comprehensive audit logging
Improved error handling and validation

Planned Enhancements (v2.1):

AI-powered document verification
Automated sanctions screening integration
Enhanced risk scoring with machine learning
Bulk KYC processing capabilities
Advanced compliance reporting dashboard

Breaking Changes (v3.0 - Future):

Migration to GraphQL API for complex compliance queries
Enhanced multi-tenant isolation with dedicated databases
Integration with global regulatory databases
Advanced AML transaction monitoring
Predictive compliance risk assessment

Additional Resources

Audience: All

For Stakeholders:

For Technical Teams:

For Project Teams: