Compliance Checker

$13

Ensure index composition stays within compliance bounds — KYC, sanctions, and asset restrictions.

📁 19 files

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📁 File Structure 19 files

compliance-checker/ ├── LICENSE ├── README.md ├── config/ │ └── default.yaml ├── pyproject.toml ├── requirements.txt ├── security-notes.md ├── src/ │ ├── __init__.py │ ├── engine.py │ ├── models.py │ ├── reports/ │ │ ├── __init__.py │ │ └── generator.py │ └── rules/ │ ├── __init__.py │ ├── base.py │ ├── mica.py │ └── sec.py ├── templates/ │ └── sample_product.yaml └── tests/ ├── __init__.py ├── test_engine.py └── test_rules.py

📖 Documentation Preview README excerpt

compliance-checker

Regulatory checklist tool for tokenized portfolio products.

Part of the CryptoForge Index Lab toolkit.

Features

Multi-Jurisdiction: EU MiCA and US SEC rule sets (extensible)
15 Compliance Rules: Covering disclosures, licensing, AML/KYC, governance, custody
Severity Scoring: Weighted score (0-100) based on finding severity
Report Generation: HTML, JSON, and Markdown output formats
Product Profiles: Structured input for systematic evaluation
Extensible: Add new jurisdictions by subclassing ComplianceRuleSet

Quick Start


from src.engine import ComplianceEngine
from src.models import ProductProfile

# Define your product
product = ProductProfile(
    name="DeFi Blue Chip Index",
    product_type="tokenized_index",
    token_symbol="DBCI",
    num_components=8,
    has_streaming_fees=True,
    fee_rate_bps=100,
    issuer_entity="IndexLab Corp",
    issuer_jurisdiction="Germany",
    issuer_licensed=True,
    kyc_required=True,
    aml_screening=True,
    has_whitepaper=True,
    has_risk_disclosures=True,
    has_terms_of_service=True,
    has_privacy_policy=True,
    audit_completed=True,
    has_multisig_governance=True,
    has_emergency_shutdown=True,
)

# Run compliance check
engine = ComplianceEngine()
report = engine.check(product)

print(f"Score: {report.score}/100")
print(f"Passed: {report.passed}/{report.total_checks}")

if report.critical_findings:
    print("CRITICAL findings:")
    for f in report.critical_findings:
        print(f"  [{f.rule_id}] {f.description}")

# Export report
engine.export(report, "compliance-report.html")

Rule Sets

... continues with setup instructions, usage examples, and more.

📄 Code Sample .py preview

src/engine.py """ Compliance engine — orchestrates rule evaluation and report generation. """ from __future__ import annotations import logging from typing import Dict, List, Optional, Type from .models import CheckResult, ComplianceReport, ProductProfile, Severity, Status from .rules.base import ComplianceRule from .rules.mica import MiCAComplianceRules from .rules.sec import SECComplianceRules from .reports.generator import ReportGenerator logger = logging.getLogger(__name__) class ComplianceEngine: """ Main compliance checking engine. Runs a battery of regulatory checks against a ProductProfile and generates a ComplianceReport. Usage: engine = ComplianceEngine() report = engine.check(product_profile) engine.export(report, "report.html") """ # Registry of available rule sets RULE_SETS: Dict[str, Type] = { "eu_mica": MiCAComplianceRules, "us_sec": SECComplianceRules, } def __init__(self, jurisdictions: Optional[List[str]] = None) -> None: """ Initialize the engine. Args: jurisdictions: List of jurisdiction codes to check against. Defaults to all available rule sets. """ self.jurisdictions = jurisdictions or list(self.RULE_SETS.keys()) self.reporter = ReportGenerator() def check(self, product: ProductProfile) -> ComplianceReport: """ # ... 132 more lines ...

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