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docs/apps/compliance/README.md
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docs/apps/compliance/README.md
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# Compliance Applications
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Compliance and regulatory services.
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## Applications
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- [Compliance Service](compliance-service.md) - Compliance checking and regulatory services
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## Features
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- Compliance verification
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- Regulatory checks
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- Audit logging
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docs/apps/compliance/compliance-service.md
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# Compliance Service
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## Status
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✅ Operational
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## Overview
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Compliance checking and regulatory services for ensuring AITBC operations meet regulatory requirements and industry standards.
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## Architecture
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### Core Components
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- **Compliance Checker**: Validates operations against compliance rules
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- **Rule Engine**: Manages and executes compliance rules
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- **Audit Logger**: Logs compliance-related events
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- **Report Generator**: Generates compliance reports
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- **Policy Manager**: Manages compliance policies
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## Quick Start (End Users)
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### Prerequisites
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- Python 3.13+
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- PostgreSQL database for audit logs
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- Compliance rule definitions
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### Installation
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```bash
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cd /opt/aitbc/apps/compliance-service
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.venv/bin/pip install -r requirements.txt
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```
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### Configuration
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Set environment variables in `.env`:
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```bash
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DATABASE_URL=postgresql://user:pass@localhost/compliance
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RULES_PATH=/opt/aitbc/compliance/rules
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AUDIT_LOG_ENABLED=true
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REPORT_INTERVAL=86400
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```
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### Running the Service
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```bash
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.venv/bin/python main.py
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```
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## Developer Guide
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### Development Setup
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1. Clone the repository
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2. Create virtual environment: `python -m venv .venv`
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3. Install dependencies: `pip install -r requirements.txt`
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4. Set up database
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5. Configure compliance rules
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6. Run tests: `pytest tests/`
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### Project Structure
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```
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compliance-service/
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├── src/
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│ ├── compliance_checker/ # Compliance checking
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│ ├── rule_engine/ # Rule management
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│ ├── audit_logger/ # Audit logging
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│ ├── report_generator/ # Report generation
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│ └── policy_manager/ # Policy management
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├── rules/ # Compliance rules
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├── tests/ # Test suite
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└── pyproject.toml # Project configuration
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```
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### Testing
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```bash
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# Run all tests
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pytest tests/
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# Run compliance checker tests
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pytest tests/test_compliance.py
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# Run rule engine tests
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pytest tests/test_rules.py
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```
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## API Reference
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### Compliance Checking
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#### Check Compliance
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```http
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POST /api/v1/compliance/check
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Content-Type: application/json
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{
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"entity_type": "agent|transaction|user",
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"entity_id": "string",
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"action": "string",
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"context": {}
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}
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```
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#### Get Compliance Status
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```http
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GET /api/v1/compliance/status/{entity_id}
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```
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#### Batch Compliance Check
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```http
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POST /api/v1/compliance/check/batch
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Content-Type: application/json
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{
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"checks": [
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{"entity_type": "string", "entity_id": "string", "action": "string"}
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]
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}
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```
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### Rule Management
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#### Add Rule
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```http
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POST /api/v1/compliance/rules
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Content-Type: application/json
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{
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"rule_id": "string",
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"name": "string",
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"description": "string",
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"conditions": {},
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"severity": "high|medium|low"
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}
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```
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#### Update Rule
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```http
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PUT /api/v1/compliance/rules/{rule_id}
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Content-Type: application/json
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{
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"conditions": {},
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"severity": "high|medium|low"
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}
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```
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#### List Rules
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```http
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GET /api/v1/compliance/rules?category=kyc|aml
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```
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### Audit Logging
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#### Get Audit Logs
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```http
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GET /api/v1/compliance/audit?entity_id=string&limit=100
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```
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#### Search Audit Logs
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```http
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POST /api/v1/compliance/audit/search
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Content-Type: application/json
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{
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"filters": {
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"entity_type": "string",
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"action": "string",
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"date_range": {"start": "2024-01-01", "end": "2024-12-31"}
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}
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}
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```
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### Reporting
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#### Generate Compliance Report
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```http
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POST /api/v1/compliance/reports/generate
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Content-Type: application/json
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{
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"report_type": "summary|detailed",
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"period": "daily|weekly|monthly",
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"scope": {}
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}
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```
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#### Get Report
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```http
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GET /api/v1/compliance/reports/{report_id}
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```
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#### List Reports
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```http
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GET /api/v1/compliance/reports?period=monthly
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```
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### Policy Management
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#### Get Policy
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```http
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GET /api/v1/compliance/policies/{policy_id}
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```
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#### Update Policy
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```http
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PUT /api/v1/compliance/policies/{policy_id}
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Content-Type: application/json
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{
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"policy": {}
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}
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```
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## Configuration
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### Environment Variables
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- `DATABASE_URL`: PostgreSQL connection string
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- `RULES_PATH`: Path to compliance rules
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- `AUDIT_LOG_ENABLED`: Enable audit logging
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- `REPORT_INTERVAL`: Report generation interval (default: 86400s)
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### Compliance Categories
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- **KYC**: Know Your Customer verification
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- **AML**: Anti-Money Laundering checks
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- **Data Privacy**: Data protection compliance
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- **Financial**: Financial regulations
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### Rule Parameters
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- **Conditions**: Rule conditions and logic
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- **Severity**: Rule severity level
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- **Actions**: Actions to take on rule violation
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## Troubleshooting
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**Compliance check failed**: Review rule conditions and entity data.
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**Rule not executing**: Verify rule syntax and configuration.
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**Audit logs not appearing**: Check audit log configuration and database connectivity.
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**Report generation failed**: Verify report parameters and data availability.
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## Security Notes
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- Encrypt audit log data
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- Implement access controls for compliance data
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- Regularly review and update compliance rules
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- Monitor for compliance violations
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- Implement secure policy management
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- Regularly audit compliance service access
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