Compliance

The Compliance API manages the compliance lifecycle for investor users — from authoring compliance form definitions, through capturing each user's submitted answers as an implementation, to producing reports and assigning investor classifications.

Domain model

  • Compliance forms — top-level form definitions (the schema or template a user fills in).
  • Implementations — a user's instance of a compliance form, with their submitted answers and any generated report.
  • Reports — the generated output for a completed implementation, exportable to PDF.
  • Classifications — investor-classification labels (for example retail, professional, sophisticated) assigned to users, optionally scoped to a specific compliance form.

Endpoints

Compliance forms

Create a compliance form

Define a new top-level compliance form.

List compliance forms

Retrieve all compliance form definitions.

Retrieve a compliance form

Fetch one compliance form by UUID.

Delete a compliance form

Permanently remove a compliance form definition.

Implementations

Create an implementation

Create a user instance of a compliance form.

List implementations for a form

All implementations attached to a compliance form.

Retrieve an implementation

Fetch one implementation, including submitted answers.

Delete an implementation

Permanently remove a compliance implementation.

Get the current form for an implementation

Retrieve the form definition bound to an implementation.

Implementation for the current user

Active implementation for the authenticated user.

Implementation for a user

Active implementation for a specified user.

All implementations for a user

Every compliance implementation associated with a user.

User compliance implementation

Compliance implementation assigned to a user.

Reports & exports

Get a compliance report

Retrieve the generated report for a completed implementation.

Export a report to PDF

Download a PDF version of a compliance report.

Export an implementation to PDF

Download a PDF copy of an implementation's questions and answers.

Classifications

List classifications

Investor classifications visible to the caller.

List all classifications

All classifications across every compliance form.

Users in a classification

Users currently assigned to a classification.

Add users to a classification

Assign one or more users to a classification.

Remove users from a classification

Unassign users from a classification.

Export classification users to CSV

Download the users in a classification as CSV.

Search users in a classification

Filter classification members by name or email.

Create classifications for a form

Define classifications scoped to a compliance form.

Classifications for a form

List classifications scoped to a compliance form.

User classifications

Users with classifications

List users alongside their assigned classifications.

Export users' classifications to CSV

Download all users and their classifications as CSV.

A user's classifications

Classifications currently assigned to a user.

Update a user's classifications

Replace the classifications assigned to a user.