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Compliance Reporting System

This document describes the compliance and reporting capabilities implemented for the marketplace contract.

Scope

The implementation covers:

  • Transaction reporting
  • Holder reporting
  • Volume and taxable volume reporting
  • Regulatory report generation and export formats
  • Historical and real-time compliance monitoring
  • Report scheduling
  • Audit trail generation
  • Regulatory compliance checks

Contract Models

Primary models in contracts/src/marketplace.rs:

  • AssetComplianceSnapshot
  • RegulatoryReport
  • ReportExport
  • ReportSchedule
  • AuditTrailEntry
  • TransferRestrictionConfig
  • TransferApprovalRequest

Reporting Functions

The contract exposes reporting methods:

  • get_total_tokenized_value(asset_id, time_range)
  • get_transaction_volume(asset_id, time_range)
  • get_holder_count(asset_id, time_range)
  • get_taxable_volume(asset_id, time_range)
  • run_regulatory_checks()
  • generate_regulatory_report(admin, asset_id, time_range, format)
  • export_report(report_id)
  • schedule_report(admin, asset_id, cadence_seconds, format)
  • run_due_reports(admin)
  • get_historical_compliance(asset_id, time_range)
  • get_real_time_compliance(asset_id)

Report Formats

Report exports support:

  • ReportFormat::Json
  • ReportFormat::Csv

The contract returns the typed ReportExport enum so clients can serialize to final file formats off-chain.

Audit Trail

Compliance-sensitive actions append immutable audit entries:

  • asset registration/migration/deprecation
  • listing creation/cancellation
  • transfer approval request/review
  • purchases and restricted transfers
  • bulk whitelist operations

Each entry captures actor, action, asset, amount, and timestamp.

Historical and Real-Time Monitoring

  • Each purchase snapshots compliance metrics into ComplianceHistory(asset_id).
  • Historical queries filter snapshots by time range.
  • Real-time queries provide the latest computed snapshot for an asset.

Scheduling

Reports are scheduled per asset with cadence in seconds. The scheduler stores next run timestamp and can be triggered by automation (bot/relayer) using run_due_reports.

Validation and Safety

  • Time-range validation rejects invalid ranges.
  • Admin-only operations are authorization-gated.
  • Restricted transfer violations increment compliance-failure counters.
  • Deprecated assets are blocked from new listings.

Tests

Coverage includes:

  • report generation and export
  • scheduling and due-run execution
  • transfer restrictions with approval workflow
  • multi-asset isolation analytics

Run:

cd contracts
cargo test