Finance: Compliance & Risk¶

flowchart TB
%% Styles (brModel Standard)
classDef i fill:#D3D3D3,stroke-width:0px,color:#000;
classDef p fill:#B3D9FF,stroke-width:0px,color:#000;
classDef r fill:#FFFFB3,stroke-width:0px,color:#000;
classDef o fill:#C1F0C1,stroke-width:0px,color:#000;
classDef s fill:#FFB3B3,stroke-width:0px,color:#000;

I_Q(["📥 Proposed decision"]):::i
P_V("🔒 Validate constraints"):::p
G_OK{"Constraints pass?"}:::s
O_OK(["✅ Approve + trace"]):::o
S_NO(["🛑 Reject + violations"]):::i
R_T(["🧾 Trace bundle<br>(rules + evidence + inputs)"]):::r

I_Q --> P_V --> G_OK
G_OK -->|"yes"| O_OK --> R_T
G_OK -->|"no"| S_NO --> R_T

%% Clickable nodes
click P_V "/methodology/constraints/" "Constraints & SHACL"

💳 The system does not “ask the model to comply”: it runs a 🔒 non-bypassable constraint gate. The output is either an approval or a rejection — both with a 🧾 trace bundle showing which rules triggered and what evidence was used.

flowchart TB
%% Styles (brModel Standard)
classDef i fill:#D3D3D3,stroke-width:0px,color:#000;
classDef p fill:#B3D9FF,stroke-width:0px,color:#000;
classDef r fill:#FFFFB3,stroke-width:0px,color:#000;
classDef o fill:#C1F0C1,stroke-width:0px,color:#000;
classDef s fill:#FFB3B3,stroke-width:0px,color:#000;

R_P(["📜 Policy library<br>(versioned)"]):::r
R1(["👤 Role restrictions<br>(who can do what)"]):::r
R2(["🚫 Sector prohibitions<br>(must-never)"]):::r
R3(["📎 Evidence requirements<br>(what must be attached)"]):::r
R4(["📏 Threshold limits<br>(numeric caps)"]):::r
R5(["🕒 Time/window rules<br>(when allowed)"]):::r
R_C(["🧾 Citations + provenance" ]):::r

P_Comp("🧩 Compile constraints"):::p
R_Set(["🔒 Constraint set<br>(executable checks)"]):::r

I_Dec(["📥 Proposed decision<br>(trade/approve/execute)"]):::i
P_G("🔒 Constraint gate"):::p

G_Role{"Role allowed?"}:::s
G_Proh{"Prohibited?"}:::s
G_Ev{"Evidence attached?"}:::s
G_Lim{"Limits pass?"}:::s
G_Time{"Window ok?"}:::s

O_OK(["✅ Allow + trace"]):::o
S_No(["🛑 Block / escalate<br>violations"]):::i
R_Rep(["🧾 Validation report<br>(which checks fired)"]):::r

R_P --> P_Comp --> R_Set
R_P --> R1
R_P --> R2
R_P --> R3 --> R_C
R_P --> R4
R_P --> R5

R1 --> P_G
R2 --> P_G
R3 --> P_G
R4 --> P_G
R5 --> P_G
R_Set --> P_G
I_Dec --> P_G --> G_Role

G_Role -->|"no"| S_No --> R_Rep
G_Role -->|"yes"| G_Proh

G_Proh -->|"yes"| S_No
G_Proh -->|"no"| G_Ev

G_Ev -->|"no"| S_No 
G_Ev -->|"yes"| G_Lim

G_Lim -->|"no"| S_No 
G_Lim -->|"yes"| G_Time

G_Time -->|"no"| S_No 
G_Time -->|"yes"| O_OK --> R_Rep

%% Clickable nodes
click R_P "/methodology/constraints/" "Constraints"

📜 “Constraints” are not one thing: finance needs role controls, hard prohibitions, evidence requirements, and numeric limits — each versioned and enforceable, so policy can’t be bypassed by fluent text. Product: a deterministic validation report showing exactly which checks fired (or passed) for a given decision.

flowchart TB
%% Styles (brModel Standard)
classDef i fill:#D3D3D3,stroke-width:0px,color:#000;
classDef p fill:#B3D9FF,stroke-width:0px,color:#000;
classDef r fill:#FFFFB3,stroke-width:0px,color:#000;
classDef o fill:#C1F0C1,stroke-width:0px,color:#000;
classDef s fill:#FFB3B3,stroke-width:0px,color:#000;

I_Upd(["🧩 Policy update"]):::i
P_Diff("🧾 Compute diff"):::p
R_Diff(["🧾 Policy diff<br>(what changed)"]):::r

P_Impact("🔎 Find impacted decisions"):::p
R_Idx(["🧠 Decision index<br>(rules → decisions)"]):::r
R_Set(["📎 Impacted decision set" ]):::r

P_Reeval("🧪 Re-evaluate decisions"):::p
G_Flip{"Any outcomes flip?"}:::s
P_Pack("🧾 Build review bundles"):::p
R_Bun(["🧾 Review bundle<br>(before/after + reasons)"]):::r

G_Risk{"High stakes?"}:::s
S_Sign(["🛑 Require sign-off" ]):::i
O_Apply(["✅ Apply updates" ]):::o

P_Log("🕒 Write change log"):::p
R_Log(["🕒 Governance log<br>(diff + approvals)"]):::r

S_No(["🛑 No material changes" ]):::i

I_Upd --> P_Diff --> R_Diff --> P_Impact
R_Idx --> P_Impact
P_Impact --> R_Set --> P_Reeval --> G_Flip

G_Flip -->|"no"| S_No --> P_Log
G_Flip -->|"yes"| P_Pack --> R_Bun --> G_Risk

G_Risk -->|"yes"| S_Sign --> P_Log
G_Risk -->|"no"| O_Apply --> P_Log

P_Log --> R_Log

🧪 Governance stays stable under change only if policy updates are diffed and decisions are re-evaluated. This turns “rule drift” into a reviewable artifact, not a silent production risk. Product: a review bundle (before/after + reasons) plus a governance log (diff + approvals) you can audit.