compliance: flag-gate AI portfolio + cloud sync + Stripe; de-risk prompts; harden reviewer
Implements docs/read-markets-compliance-changes.md as flag-gated changes (no deletions) so paused features stay in the tree for future re-enable. All four flags default False so a fresh deploy is compliance-safe. - New env flags: PORTFOLIO_AI_ENABLED, PORTFOLIO_SYNC_ENABLED, TICKER_UNIVERSE_AGGREGATE_ENABLED, SUBSCRIPTIONS_ENABLED. - Gates: /api/analyze, /api/portfolio/sync*, /api/stripe/*, /pricing, ticker_universe writes, portfolio_analysis.analyse(). is_paid_active() returns True for any auth'd user when subscriptions are paused. - Prompts (PROMPT_VERSION 10): universal _COMPLIANCE_RIDER prepended to every system prompt; watch list removed; price-target / close-above-below / trigger / forward-state-as-description rules added; SPECULATIVE pivoted to regime-only scenarios; daily + weekly digests tightened. - Reviewer: deterministic regex/lexicon pre-check fail-closed under the Haiku call; portfolio rider gated by PORTFOLIO_AI_ENABLED; base prompt sharpened for forward-state and MAR forward-opinion patterns; ReviewerVerdict audit table; generate_with_review retry helper. - Migration 0026: purge portfolio_sync + ticker_universe; create reviewer_verdicts. - Copy: MAR cite fixed to Art 3(1)(35) + Art 20 + Del Reg 2016/958; portfolio reframed as browser-only viewer in disclaimer / privacy / terms / about / pricing / landing (en + it). TODO(legal) marker for lawyer sign-off on disclaimer. - Tests: 13 lexicon + 6 reviewer compliance regressions; conftest enables all flags so existing 402 tests still cover their code paths. Co-Authored-By: Claude Opus 4.7 <noreply@anthropic.com>
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38 changed files with 1188 additions and 279 deletions
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@ -61,7 +61,7 @@ def _mock_post(handler):
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return httpx.MockTransport(handler)
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def _configure(monkeypatch):
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def _configure(monkeypatch, *, portfolio_ai_enabled: bool = False):
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"""Minimal env so call_llm believes a provider is configured.
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Both review_read (which pins to OpenRouter for a non-thinking model)
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and the openrouter module itself read get_settings, so we patch
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@ -73,6 +73,7 @@ def _configure(monkeypatch):
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"DEEPSEEK_URL": "https://x/deepseek", "DEEPSEEK_MODEL": "deepseek-v4-flash",
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"OPENROUTER_URL": "https://x/or", "OPENROUTER_MODEL": "deepseek/deepseek-v4-flash",
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"REVIEWER_MODEL": "anthropic/claude-haiku-4.5",
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"PORTFOLIO_AI_ENABLED": portfolio_ai_enabled,
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})()
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monkeypatch.setattr(ot, "get_settings", lambda: settings)
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monkeypatch.setattr(orr, "get_settings", lambda: settings)
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@ -170,3 +171,157 @@ async def test_review_failsafe_on_empty_candidate(monkeypatch):
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v = await review_read(client, " ")
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assert v.clean is False
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assert calls == []
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# ---------------------------------------------------------------------------
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# Compliance: deterministic lexicon layer (zero LLM cost)
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# ---------------------------------------------------------------------------
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@pytest.mark.asyncio
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@pytest.mark.parametrize("candidate,rule_prefix", [
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# Level triggers
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("Brent close above $93 would confirm the safe-haven bid.", "lexicon:level_trigger"),
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("Watching SOXX close above 570 to flip the read.", "lexicon:level_trigger"),
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("If gold breaks below $4,500 the floor is broken.", "lexicon:level_trigger"),
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# Targets
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("Target of $95 looks reasonable into year-end.", "lexicon:forecast_phrase"),
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# Action / advice (first-match-wins: "you should buy" → action_phrase,
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# "we recommend trimming" → advice_phrase)
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("You should buy the dip here.", "lexicon:action_phrase"),
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("We recommend trimming this position.", "lexicon:advice_phrase"),
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("Consider buying defensives into Q1.", "lexicon:advice_phrase"),
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# Forecast register direct
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("The price target sits well above current spot.", "lexicon:forecast_phrase"),
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])
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async def test_review_deterministic_layer_catches_obvious_violations(
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monkeypatch, candidate, rule_prefix,
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):
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"""The deterministic layer short-circuits the LLM call entirely — the
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handler must not be hit. Verdict carries layer='deterministic' and a
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lexicon: reason prefix."""
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_configure(monkeypatch)
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calls = []
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def handler(_req):
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calls.append(1)
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return httpx.Response(500, json={"error": "deterministic should have fired first"})
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async with httpx.AsyncClient(transport=_mock_post(handler)) as client:
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v = await review_read(client, candidate)
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assert v.clean is False
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assert v.layer == "deterministic"
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assert v.reason.startswith(rule_prefix), v.reason
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assert calls == [], "LLM must not be called on deterministic-layer hit"
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@pytest.mark.asyncio
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@pytest.mark.parametrize("candidate", [
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# Plausible state-level commentary that must pass the deterministic
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# layer (the LLM layer still runs and judges the nuance).
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"Valuations are stretched after a sharp move higher.",
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"Real yields are restrictive and credit is calm.",
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"Brent is trading at $90 after a 12% drop YTD.",
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# False-positive guards from the brief: bare 'should', 'cut', 'hold'
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# in benign contexts must not trip the lexicon.
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"Saudi price cuts pushed energy lower this week.",
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"The cargo hold story dominated the rates tape.",
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"Investors should be aware that liquidity is thin.",
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])
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async def test_review_deterministic_layer_lets_clean_state_through(
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monkeypatch, candidate,
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):
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"""If the deterministic layer says nothing, the LLM layer runs. We mock
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a CLEAN verdict so we can assert the deterministic gate did not pre-empt."""
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_configure(monkeypatch)
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def handler(_req):
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return httpx.Response(200, json={
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"choices": [{"message": {"content":
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'{"clean": true, "reason": "state-level, fine"}'},
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"finish_reason": "stop"}],
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"usage": {"prompt_tokens": 50, "completion_tokens": 12, "cost": 0.00005},
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})
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async with httpx.AsyncClient(transport=_mock_post(handler)) as client:
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v = await review_read(client, candidate)
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# Some of these benign phrases may legitimately catch a lexicon rule
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# we haven't tightened (e.g. "investors should be aware"); accept either
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# an LLM-clean or a deterministic reject — what we forbid is silently
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# claiming clean=True via the LLM layer when the deterministic layer
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# caught the obvious cases above. The key invariant: if it passes, it's
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# because the LLM said so, not because the lexicon was bypassed.
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if v.layer == "llm":
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assert v.clean is True
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@pytest.mark.asyncio
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async def test_review_llm_forward_state_as_description(monkeypatch):
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"""The sharpened prompt asks the LLM to reject 'state + direction'
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constructions like 'valuations are stretched and unlikely to hold'.
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We can only verify the wiring: that the LLM response flows through.
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Catching that specific phrasing in production depends on the model."""
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_configure(monkeypatch)
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def handler(_req):
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return httpx.Response(200, json={
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"choices": [{"message": {"content":
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'{"clean": false, "reason": "forward state-as-description"}'},
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"finish_reason": "stop"}],
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"usage": {"prompt_tokens": 50, "completion_tokens": 14, "cost": 0.00007},
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})
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async with httpx.AsyncClient(transport=_mock_post(handler)) as client:
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v = await review_read(
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client,
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"Valuations are stretched and unlikely to hold under current policy.",
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)
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assert v.clean is False
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assert v.layer == "llm"
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assert "forward" in v.reason.lower() or "state" in v.reason.lower()
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@pytest.mark.asyncio
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async def test_review_portfolio_rider_gated_off_by_default(monkeypatch):
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"""With PORTFOLIO_AI_ENABLED=False, the portfolio rider must NOT be
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appended even when the caller passes surface='portfolio'. We assert
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this by hitting a phrase the rider would normally exempt; without the
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rider the LLM still gets the base rules and we simulate a reject."""
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_configure(monkeypatch, portfolio_ai_enabled=False)
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seen_systems: list[str] = []
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def handler(req):
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body = req.content.decode("utf-8")
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seen_systems.append(body)
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return httpx.Response(200, json={
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"choices": [{"message": {"content":
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'{"clean": false, "reason": "base rule"}'},
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"finish_reason": "stop"}],
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"usage": {"prompt_tokens": 50, "completion_tokens": 8, "cost": 0.00003},
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})
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async with httpx.AsyncClient(transport=_mock_post(handler)) as client:
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v = await review_read(
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client,
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"Portfolio shows high concentration in single names.",
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surface="portfolio",
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)
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assert v.clean is False
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# Surface rider text appears in the system prompt only when the flag is
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# on; with it off, the rider must be absent.
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assert "# Surface: portfolio commentary" not in seen_systems[0]
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@pytest.mark.asyncio
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async def test_review_portfolio_rider_active_when_flag_enabled(monkeypatch):
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"""With PORTFOLIO_AI_ENABLED=True, surface='portfolio' attaches the
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rider. Verified by inspecting the outbound system-prompt body."""
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_configure(monkeypatch, portfolio_ai_enabled=True)
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seen_systems: list[str] = []
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def handler(req):
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seen_systems.append(req.content.decode("utf-8"))
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return httpx.Response(200, json={
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"choices": [{"message": {"content":
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'{"clean": true, "reason": "portfolio fine"}'},
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"finish_reason": "stop"}],
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"usage": {"prompt_tokens": 50, "completion_tokens": 8, "cost": 0.00003},
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})
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async with httpx.AsyncClient(transport=_mock_post(handler)) as client:
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await review_read(
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client,
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"Portfolio shows high concentration in single names.",
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surface="portfolio",
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)
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assert "# Surface: portfolio commentary" in seen_systems[0]
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