# Vercy AI instruction - YAML 1.2 (JSON-compatible) { "vercy": "1.0-draft", "publication": { "status": "published", "adjudicationStatus": "reviewable-draft", "publishableCanonical": false, "generatedAt": "2026-09-06T19:42:15Z", "synthesisSha256": "d837d0e44f2efdbea09b4088a785d498d090d944d0400ae280f29ef2a20d8970", "providerMode": "single-provider-waiver", "providers": [ "Codex" ], "waivedProviders": [ "Claude", "Grok" ] }, "metaModel": { "id": "WM-ECO-038", "registryId": "vr.wm-eco-038", "name": "Equity / Security Holding", "version": "0.3.0-research.1", "previousVersions": [], "entryKind": "aggregate", "family": "World Models", "category": "Society, people and institutions", "industry": [ "Cross-industry" ], "domain": [ "SOC.ECO.SEC" ], "tags": [ "equity", "security", "holding", "soc.eco.sec" ], "status": "published" }, "canonicalUrl": "https://ver.cy/models/wm-eco-038-equity-security-holding/", "sourceUrl": "https://github.com/ver-cy/world-models/tree/feat/mega-model-registry/research/runs/wm-eco-038", "model": { "registry_id": "vr.wm-eco-038", "model_id": "WM-ECO-038", "name": "Equity / Security Holding", "entry_kind": "aggregate", "purpose": "Represent one governed security holding as an identity-bearing, source-qualified position that binds a holder capacity and a security to an account or register context and preserves balances, rights, restrictions and change lineage without becoming the instrument, account, transaction, corporate action or legal ownership determination.", "scope_statement": "Owns holding and version identity; authoritative source-position key or declared composite identity; direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity assertions; security, issuance, share class, listing, account, register, depository, custodian, subcustodian, account-servicer, holder, owner and manager bindings; quantity, unit, face value, percentage and fraction assertions; settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance buckets; acquisition-source, lot, date, quantity, cost, currency, fee, tax and accounting references; legal-title, beneficial-interest, economic-interest, control, voting, dividend, distribution, conversion, subscription and participation-right assertions; lock-up, holding-period, transfer, sanction, freeze, lien, pledge, securities-lending, repo, collateral, short-sale, recall and return references; order, trade, allocation, netting, settlement, payment and ledger references; holding-owned acquisition, disposal, transfer, delivery, receipt, cancellation, reversal, observation, reconciliation, correction, split, merge, account-transfer and successor lineage; corporate-action event, announcement, record, ex, election and payment times; eligible and entitled quantities, rates, options, rounding and fractions; election, instruction, deadline, status, rejection, cancellation, cash or security movement, confirmation, reversal, tax and income outcome references; price, value, method, accrual, income, gain, loss and exposure projections; beneficial-ownership, percentage, voting-power, threshold, filing and disclosure references; provenance, event and knowledge clocks, quality, access, retention, audit and loss-aware projections. Instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, entitlement, instruction, tax, filing and records masters remain authoritative.", "in_scope": [ "Holding identity, version, holder capacity, security, account or register context and source-qualified balance observations", "Lots, rights, restrictions, encumbrance references, position changes, reconciliation and corporate-action position views", "Valuation and reporting projections, provenance, access, retention, validation and interoperability" ], "out_of_scope": [ "Owning Security Instrument, Issuance, Party, Account, Register, Custody, Order, Trade, Settlement, Payment, Ledger, Tax Lot, Valuation, Rating, Securities Lending, Repo, Collateral, Corporate Action, Entitlement, Instruction, Movement, Tax, Filing or Record masters", "Treating registered holder as beneficial owner, quantity as voting power or value, trade as settlement, settled as available, eligibility as accepted instruction, valuation as fact or filing as complete ownership truth", "Autonomous trading, transfer, settlement, voting, election, instruction, beneficial-ownership determination, tax, filing, protected disclosure or record destruction" ], "boundary_notes": [ { "neighbor": "WM-ECO-005 Credit / Security candidate category", "distinction": "Equity / Security Holding is a governed position aggregate. The candidate parent is marked for split and grants no inherited semantics or cascade authority.", "source_refs": [ "SRC-001", "SRC-003", "SRC-012", "SRC-017" ] }, { "neighbor": "WM-ECO-037 Debt Instrument and other security instruments", "distinction": "An instrument owns contractual or issuance terms. A holding binds a holder capacity, security, account context and quantity at time and may reference debt, equity or fund instruments.", "source_refs": [ "SRC-001", "SRC-005", "SRC-011", "SRC-012", "SRC-015" ] }, { "neighbor": "Generic ownership, party, account and custody", "distinction": "The holding records role-qualified assertions and source references. Legal title, beneficial ownership, party identity, account lifecycle, segregation and custody chain remain independently mastered.", "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-013" ] }, { "neighbor": "Order, trade, settlement, payment and ledger", "distinction": "Operational records may change a holding but preserve their own identity, lifecycle, effective time and authority. A trade-date position is not automatically settled ownership.", "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007" ] }, { "neighbor": "Corporate action, entitlement, instruction and movement", "distinction": "The holding supplies a dated quantity and capacity view. Event, eligibility rules, entitlement, election, instruction processing, movement and tax outcomes remain distinct records.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020" ] }, { "neighbor": "Regulatory disclosure, valuation and accounting", "distinction": "Reports, prices, carrying amounts and regulatory thresholds are source-qualified time-bound projections; none replaces the source holding or constitutes universal ownership truth.", "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010" ] } ] }, "sources": [ { "id": "SRC-001", "title": "Handbook on Securities Statistics", "organization": "International Monetary Fund, Bank for International Settlements and European Central Bank", "url": "https://www.imf.org/-/media/files/data/statistics/wgsd/hss.pdf", "version_or_date": "2015 consolidated handbook", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Defines securities, holdings, positions, flows, revaluations, holder and issuer breakdowns and accounting distinctions." }, { "id": "SRC-002", "title": "Securities Holdings Statistics methodology", "organization": "European Central Bank", "url": "https://data.ecb.europa.eu/methodology/securities-holdings-statistics", "version_or_date": "Methodology page accessed 2026-09-06", "source_type": "public-authority", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Security-by-security positions, holder and instrument classifications, transactions, custody sourcing and Centralised Securities Database enrichment." }, { "id": "SRC-003", "title": "Regulation (EU) No 1011/2012 concerning statistics on holdings of securities", "organization": "European Central Bank and European Union", "url": "https://eur-lex.europa.eu/eli/reg/2012/1011/2018-10-01/eng", "version_or_date": "Consolidated 1 October 2018", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Defines a position as securities owned or held in custody at period end and supplies a regional statistical reporting profile." }, { "id": "SRC-004", "title": "Guideline ECB/2013/7 concerning statistics on holdings of securities", "organization": "European Central Bank and European Union", "url": "https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02013O0007-20260410", "version_or_date": "Consolidated 10 April 2026", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Reporting, data quality, input and output distinctions for securities holdings statistics." }, { "id": "SRC-005", "title": "IFRS 9 Financial Instruments", "organization": "IFRS Foundation", "url": "https://www.ifrs.org/issued-standards/list-of-standards/ifrs-9-financial-instruments/", "version_or_date": "Issued standard page accessed 2026-09-06", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Recognition, acquisition or issue, classification, measurement, impairment, reclassification and derecognition context; licensed text is not reproduced." }, { "id": "SRC-006", "title": "IAS 32 Financial Instruments: Presentation", "organization": "IFRS Foundation", "url": "https://www.ifrs.org/issued-standards/list-of-standards/ias-32-financial-instruments-presentation/", "version_or_date": "Issued standard page accessed 2026-09-06", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Asset, liability and equity presentation context without making accounting classification the holding identity." }, { "id": "SRC-007", "title": "Regulation (EU) No 909/2014 on securities settlement and central securities depositories", "organization": "European Union", "url": "https://eur-lex.europa.eu/eli/reg/2014/909/2024-01-16/eng", "version_or_date": "Consolidated version current 17 January 2026", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Book-entry, securities-account, custody, segregation, settlement and issue-integrity boundaries in the EU profile." }, { "id": "SRC-008", "title": "Directive 2007/36/EC on the exercise of certain rights of shareholders", "organization": "European Union", "url": "https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02007L0036-20240109", "version_or_date": "Consolidated 9 January 2024", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Shareholder identification, intermediary-chain and rights-facilitation profile with regional scope." }, { "id": "SRC-009", "title": "Commission Implementing Regulation (EU) 2018/1212", "organization": "European Union", "url": "https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX%3A32018R1212", "version_or_date": "3 September 2018", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Minimum fields and formats for shareholder identification, general meetings and exercise of shareholder rights." }, { "id": "SRC-010", "title": "Information for Certain Types of Transactions and Filers", "organization": "United States Securities and Exchange Commission", "url": "https://www.sec.gov/about/divisions-offices/division-corporation-finance/information-certain-types-transactions-filers", "version_or_date": "Official page accessed 2026-09-06", "source_type": "public-authority", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Regional Regulation 13D-G and Schedule 13D or 13G beneficial-ownership reporting boundary." }, { "id": "SRC-011", "title": "ISO 6166 Financial services - International securities identification number", "organization": "International Organization for Standardization", "url": "https://www.iso.org/standard/78502.html", "version_or_date": "ISO 6166:2021", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "ISIN identity profile for referenced securities; it does not identify a holding or holder." }, { "id": "SRC-012", "title": "ISO 10962 Classification of financial instruments", "organization": "International Organization for Standardization", "url": "https://www.iso.org/standard/81140.html", "version_or_date": "ISO 10962:2021, edition 5", "source_type": "classifier", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "CFI classification attributes and lifecycle sensitivity for referenced instruments." }, { "id": "SRC-013", "title": "ISO 17442 Legal entity identifier", "organization": "International Organization for Standardization", "url": "https://www.iso.org/standard/78829.html", "version_or_date": "ISO 17442-1:2020", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "LEI profile for referenced legal entities without owning party lifecycle." }, { "id": "SRC-014", "title": "ISO 4217 Currency Codes", "organization": "International Organization for Standardization", "url": "https://www.iso.org/iso-4217-currency-codes.html", "version_or_date": "Maintenance page accessed 2026-09-06", "source_type": "classifier", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Currency identifiers for cost, income, valuation, tax and movement assertions." }, { "id": "SRC-015", "title": "Financial Instrument Global Identifier", "organization": "Object Management Group", "url": "https://www.omg.org/spec/FIGI", "version_or_date": "FIGI 1.2 formal, March 2026", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Machine-readable security identifier mapping; the formal release is distinguished from beta development." }, { "id": "SRC-016", "title": "Financial Industry Business Ontology", "organization": "EDM Council", "url": "https://spec.edmcouncil.org/fibo/index.html", "version_or_date": "Official specification index accessed 2026-09-06", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Format-independent finance semantics and modular ontology context." }, { "id": "SRC-017", "title": "FIBO Security Assets", "organization": "EDM Council", "url": "https://spec.edmcouncil.org/fibo/ontology/SEC/Securities/SecurityAssets/", "version_or_date": "Master/latest ontology page accessed 2026-09-06", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Security-asset and position-adjacent concepts used only for alignment; production pin remains required." }, { "id": "SRC-018", "title": "FIBO Security-related Corporate Actions", "organization": "EDM Council", "url": "https://spec.edmcouncil.org/fibo/ontology/CAE/CorporateEvents/SecurityRelatedCorporateActions/", "version_or_date": "Master/latest ontology page accessed 2026-09-06", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Corporate-action event, option and security-movement concepts used for external lifecycle alignment." }, { "id": "SRC-019", "title": "FIBO OWL releases", "organization": "EDM Council", "url": "https://spec.edmcouncil.org/fibo/page/owl", "version_or_date": "Release guidance accessed 2026-09-06", "source_type": "first-party-doc", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Distinguishes quarterly vetted production releases from continuously published development content." }, { "id": "SRC-020", "title": "ISO 20022 Corporate Actions message definitions", "organization": "ISO 20022 Registration Authority", "url": "https://www.iso20022.org/iso-20022-message-definitions?business-domain%5B0%5D=6&search=seev", "version_or_date": "Catalogue updated 17 March 2026", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Versioned event, instruction, status, movement, confirmation and reversal message projections; messages do not own the holding." }, { "id": "SRC-021", "title": "Date and Time on the Internet: Timestamps", "organization": "Internet Engineering Task Force", "url": "https://www.rfc-editor.org/rfc/rfc3339.html", "version_or_date": "RFC 3339, July 2002", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Unambiguous trade, settlement, record, ex, payment, observation and knowledge timestamps with seconds and offset." }, { "id": "SRC-022", "title": "PROV-O: The PROV Ontology", "organization": "World Wide Web Consortium", "url": "https://www.w3.org/TR/prov-o/", "version_or_date": "W3C Recommendation, 30 April 2013", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Attribution, derivation, revision, invalidation and delegation for balance assertions and evidence." }, { "id": "SRC-023", "title": "Data Quality Vocabulary", "organization": "World Wide Web Consortium", "url": "https://www.w3.org/TR/vocab-dqv/", "version_or_date": "W3C Working Group Note, 15 December 2016", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Quality measurement, annotation and policy concepts for reconciled positions and conflicts." }, { "id": "SRC-024", "title": "ODRL Information Model 2.2", "organization": "World Wide Web Consortium", "url": "https://www.w3.org/TR/odrl-model/", "version_or_date": "W3C Recommendation, 15 February 2018", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T19:38:00Z", "relevance": "Permissions, prohibitions, duties and constraints for protected holding records and projections." } ], "structure": { "bundles": [ { "id": "holding-identity-class-and-account-context", "name": "Holding identity, class and account context", "description": "Establish the source position and its participants without absorbing security, account, register or party masters", "rationale": "Establish the source position and its participants without absorbing security, account, register or party masters", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ], "layers": [ { "id": "holding-identity-and-capacity", "name": "Holding identity and capacity", "description": "Groups governed findings for holding identity and capacity while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ], "findings": [ { "id": "holding-identity-namespace-position-key-version-predecessor-and-successor", "name": "Holding identity, namespace, position key, version, predecessor and successor", "description": "Records holding identity, namespace, position key, version, predecessor and successor as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ], "questions": [ { "id": "holding-identity-namespace-position-key-version-predecessor-and-successor-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish holding identity, namespace, position key, version, predecessor and successor?", "kind": "identity", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "holding-identity-namespace-position-key-version-predecessor-and-successor-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access holding identity, namespace, position key, version, predecessor and successor, under what authority and role?", "kind": "requirement", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "holding-identity-namespace-position-key-version-predecessor-and-successor-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify holding identity, namespace, position key, version, predecessor and successor?", "kind": "privacy", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "holding-identity-namespace-position-key-version-predecessor-and-successor-data", "name": "Holding identity, namespace, position key, version, predecessor and successor data", "description": "Typed values and references needed to answer the governed questions for holding identity, namespace, position key, version, predecessor and successor without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ] } ], "artifacts": [ { "id": "holding-identity-namespace-position-key-version-predecessor-and-successor-artifact", "name": "Holding identity, namespace, position key, version, predecessor and successor evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting holding identity, namespace, position key, version, predecessor and successor.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ] } ], "inline_only_rationale": null }, { "id": "direct-indirect-legal-registered-beneficial-nominee-custody-long-and-short-capacity", "name": "Direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity", "description": "Records direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ], "questions": [ { "id": "direct-indirect-legal-registered-beneficial-nominee-custody-long-and-short-capacity-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity?", "kind": "classification", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "direct-indirect-legal-registered-beneficial-nominee-custody-long-and-short-capacity-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity, under what authority and role?", "kind": "constraint", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "direct-indirect-legal-registered-beneficial-nominee-custody-long-and-short-capacity-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity?", "kind": "retention", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "direct-indirect-legal-registered-beneficial-nominee-custody-long-and-short-capacity-data", "name": "Direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity data", "description": "Typed values and references needed to answer the governed questions for direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ] } ], "artifacts": [ { "id": "direct-indirect-legal-registered-beneficial-nominee-custody-long-and-short-capacity-artifact", "name": "Direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ] } ], "inline_only_rationale": null } ] }, { "id": "instrument-account-register-and-parties", "name": "Instrument, account, register and parties", "description": "Groups governed findings for instrument, account, register and parties while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-002", "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ], "findings": [ { "id": "security-instrument-issuance-share-class-listing-and-identifier-reference", "name": "Security instrument, issuance, share class, listing and identifier reference", "description": "Records security instrument, issuance, share class, listing and identifier reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-002", "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ], "questions": [ { "id": "security-instrument-issuance-share-class-listing-and-identifier-reference-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish security instrument, issuance, share class, listing and identifier reference?", "kind": "relationship", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "security-instrument-issuance-share-class-listing-and-identifier-reference-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access security instrument, issuance, share class, listing and identifier reference, under what authority and role?", "kind": "process", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "security-instrument-issuance-share-class-listing-and-identifier-reference-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify security instrument, issuance, share class, listing and identifier reference?", "kind": "access", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "security-instrument-issuance-share-class-listing-and-identifier-reference-data", "name": "Security instrument, issuance, share class, listing and identifier reference data", "description": "Typed values and references needed to answer the governed questions for security instrument, issuance, share class, listing and identifier reference without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-002", "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ] } ], "artifacts": [ { "id": "security-instrument-issuance-share-class-listing-and-identifier-reference-artifact", "name": "Security instrument, issuance, share class, listing and identifier reference evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting security instrument, issuance, share class, listing and identifier reference.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-002", "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ] } ], "inline_only_rationale": null }, { "id": "holder-beneficial-owner-registered-holder-nominee-custodian-account-servicer-and-manager", "name": "Holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager", "description": "Records holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-002", "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ], "questions": [ { "id": "holder-beneficial-owner-registered-holder-nominee-custodian-account-servicer-and-manager-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager?", "kind": "authority", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "holder-beneficial-owner-registered-holder-nominee-custodian-account-servicer-and-manager-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager, under what authority and role?", "kind": "event", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "holder-beneficial-owner-registered-holder-nominee-custodian-account-servicer-and-manager-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager?", "kind": "exception", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "holder-beneficial-owner-registered-holder-nominee-custodian-account-servicer-and-manager-data", "name": "Holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager data", "description": "Typed values and references needed to answer the governed questions for holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-002", "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ] } ], "artifacts": [ { "id": "holder-beneficial-owner-registered-holder-nominee-custodian-account-servicer-and-manager-artifact", "name": "Holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-002", "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "quantities-balance-buckets-and-lots", "name": "Quantities, balance buckets and lots", "description": "Represent source-qualified quantities and acquisition groupings without turning them into price, ownership or tax truth", "rationale": "Represent source-qualified quantities and acquisition groupings without turning them into price, ownership or tax truth", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ], "layers": [ { "id": "quantity-unit-and-balance-state", "name": "Quantity, unit and balance state", "description": "Groups governed findings for quantity, unit and balance state while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007" ], "findings": [ { "id": "position-quantity-unit-face-value-percentage-and-fraction", "name": "Position quantity, unit, face value, percentage and fraction", "description": "Records position quantity, unit, face value, percentage and fraction as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007" ], "questions": [ { "id": "position-quantity-unit-face-value-percentage-and-fraction-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish position quantity, unit, face value, percentage and fraction?", "kind": "measurement", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "position-quantity-unit-face-value-percentage-and-fraction-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access position quantity, unit, face value, percentage and fraction, under what authority and role?", "kind": "measurement", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "position-quantity-unit-face-value-percentage-and-fraction-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify position quantity, unit, face value, percentage and fraction?", "kind": "interoperability", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "position-quantity-unit-face-value-percentage-and-fraction-data", "name": "Position quantity, unit, face value, percentage and fraction data", "description": "Typed values and references needed to answer the governed questions for position quantity, unit, face value, percentage and fraction without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007" ] } ], "artifacts": [ { "id": "position-quantity-unit-face-value-percentage-and-fraction-artifact", "name": "Position quantity, unit, face value, percentage and fraction evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting position quantity, unit, face value, percentage and fraction.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007" ] } ], "inline_only_rationale": null }, { "id": "settled-available-blocked-pledged-lent-borrowed-pending-and-encumbered-balance", "name": "Settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance", "description": "Records settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007" ], "questions": [ { "id": "settled-available-blocked-pledged-lent-borrowed-pending-and-encumbered-balance-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance?", "kind": "state", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "settled-available-blocked-pledged-lent-borrowed-pending-and-encumbered-balance-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance, under what authority and role?", "kind": "evidence", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "settled-available-blocked-pledged-lent-borrowed-pending-and-encumbered-balance-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance?", "kind": "decision", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "settled-available-blocked-pledged-lent-borrowed-pending-and-encumbered-balance-data", "name": "Settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance data", "description": "Typed values and references needed to answer the governed questions for settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007" ] } ], "artifacts": [ { "id": "settled-available-blocked-pledged-lent-borrowed-pending-and-encumbered-balance-artifact", "name": "Settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007" ] } ], "inline_only_rationale": null } ] }, { "id": "acquisition-lot-and-cost-context", "name": "Acquisition lot and cost context", "description": "Groups governed findings for acquisition lot and cost context while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ], "findings": [ { "id": "acquisition-source-trade-settlement-lot-date-quantity-and-lineage", "name": "Acquisition source, trade, settlement, lot, date, quantity and lineage", "description": "Records acquisition source, trade, settlement, lot, date, quantity and lineage as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ], "questions": [ { "id": "acquisition-source-trade-settlement-lot-date-quantity-and-lineage-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish acquisition source, trade, settlement, lot, date, quantity and lineage?", "kind": "provenance", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "acquisition-source-trade-settlement-lot-date-quantity-and-lineage-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access acquisition source, trade, settlement, lot, date, quantity and lineage, under what authority and role?", "kind": "quality", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "acquisition-source-trade-settlement-lot-date-quantity-and-lineage-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify acquisition source, trade, settlement, lot, date, quantity and lineage?", "kind": "identity", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "acquisition-source-trade-settlement-lot-date-quantity-and-lineage-data", "name": "Acquisition source, trade, settlement, lot, date, quantity and lineage data", "description": "Typed values and references needed to answer the governed questions for acquisition source, trade, settlement, lot, date, quantity and lineage without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ] } ], "artifacts": [ { "id": "acquisition-source-trade-settlement-lot-date-quantity-and-lineage-artifact", "name": "Acquisition source, trade, settlement, lot, date, quantity and lineage evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting acquisition source, trade, settlement, lot, date, quantity and lineage.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ] } ], "inline_only_rationale": null }, { "id": "cost-basis-price-currency-fee-tax-and-accounting-reference", "name": "Cost basis, price, currency, fee, tax and accounting reference", "description": "Records cost basis, price, currency, fee, tax and accounting reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ], "questions": [ { "id": "cost-basis-price-currency-fee-tax-and-accounting-reference-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish cost basis, price, currency, fee, tax and accounting reference?", "kind": "measurement", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "cost-basis-price-currency-fee-tax-and-accounting-reference-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access cost basis, price, currency, fee, tax and accounting reference, under what authority and role?", "kind": "validation", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "cost-basis-price-currency-fee-tax-and-accounting-reference-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify cost basis, price, currency, fee, tax and accounting reference?", "kind": "classification", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "cost-basis-price-currency-fee-tax-and-accounting-reference-data", "name": "Cost basis, price, currency, fee, tax and accounting reference data", "description": "Typed values and references needed to answer the governed questions for cost basis, price, currency, fee, tax and accounting reference without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ] } ], "artifacts": [ { "id": "cost-basis-price-currency-fee-tax-and-accounting-reference-artifact", "name": "Cost basis, price, currency, fee, tax and accounting reference evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting cost basis, price, currency, fee, tax and accounting reference.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "rights-control-restrictions-and-encumbrances", "name": "Rights, control, restrictions and encumbrances", "description": "Describe holding-scoped rights and limitations while legal determination and encumbrance masters remain external", "rationale": "Describe holding-scoped rights and limitations while legal determination and encumbrance masters remain external", "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017", "SRC-007", "SRC-022" ], "layers": [ { "id": "ownership-control-economic-and-voting-rights", "name": "Ownership, control, economic and voting rights", "description": "Groups governed findings for ownership, control, economic and voting rights while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ], "findings": [ { "id": "legal-title-beneficial-interest-economic-interest-and-control-assertion", "name": "Legal title, beneficial interest, economic interest and control assertion", "description": "Records legal title, beneficial interest, economic interest and control assertion as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ], "questions": [ { "id": "legal-title-beneficial-interest-economic-interest-and-control-assertion-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish legal title, beneficial interest, economic interest and control assertion?", "kind": "evidence", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "legal-title-beneficial-interest-economic-interest-and-control-assertion-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access legal title, beneficial interest, economic interest and control assertion, under what authority and role?", "kind": "security", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "legal-title-beneficial-interest-economic-interest-and-control-assertion-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify legal title, beneficial interest, economic interest and control assertion?", "kind": "composition", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "legal-title-beneficial-interest-economic-interest-and-control-assertion-data", "name": "Legal title, beneficial interest, economic interest and control assertion data", "description": "Typed values and references needed to answer the governed questions for legal title, beneficial interest, economic interest and control assertion without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ] } ], "artifacts": [ { "id": "legal-title-beneficial-interest-economic-interest-and-control-assertion-artifact", "name": "Legal title, beneficial interest, economic interest and control assertion evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting legal title, beneficial interest, economic interest and control assertion.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ] } ], "inline_only_rationale": null }, { "id": "voting-dividend-distribution-conversion-subscription-and-participation-right", "name": "Voting, dividend, distribution, conversion, subscription and participation right", "description": "Records voting, dividend, distribution, conversion, subscription and participation right as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ], "questions": [ { "id": "voting-dividend-distribution-conversion-subscription-and-participation-right-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish voting, dividend, distribution, conversion, subscription and participation right?", "kind": "constraint", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "voting-dividend-distribution-conversion-subscription-and-participation-right-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access voting, dividend, distribution, conversion, subscription and participation right, under what authority and role?", "kind": "privacy", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "voting-dividend-distribution-conversion-subscription-and-participation-right-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify voting, dividend, distribution, conversion, subscription and participation right?", "kind": "relationship", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "voting-dividend-distribution-conversion-subscription-and-participation-right-data", "name": "Voting, dividend, distribution, conversion, subscription and participation right data", "description": "Typed values and references needed to answer the governed questions for voting, dividend, distribution, conversion, subscription and participation right without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ] } ], "artifacts": [ { "id": "voting-dividend-distribution-conversion-subscription-and-participation-right-artifact", "name": "Voting, dividend, distribution, conversion, subscription and participation right evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting voting, dividend, distribution, conversion, subscription and participation right.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-006", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ] } ], "inline_only_rationale": null } ] }, { "id": "restrictions-availability-and-financing-use", "name": "Restrictions, availability and financing use", "description": "Groups governed findings for restrictions, availability and financing use while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-017", "SRC-022" ], "findings": [ { "id": "lock-up-holding-period-transfer-restriction-sanction-freeze-lien-and-pledge", "name": "Lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge", "description": "Records lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-017", "SRC-022" ], "questions": [ { "id": "lock-up-holding-period-transfer-restriction-sanction-freeze-lien-and-pledge-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge?", "kind": "constraint", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "lock-up-holding-period-transfer-restriction-sanction-freeze-lien-and-pledge-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge, under what authority and role?", "kind": "retention", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "lock-up-holding-period-transfer-restriction-sanction-freeze-lien-and-pledge-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge?", "kind": "state", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "lock-up-holding-period-transfer-restriction-sanction-freeze-lien-and-pledge-data", "name": "Lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge data", "description": "Typed values and references needed to answer the governed questions for lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-017", "SRC-022" ] } ], "artifacts": [ { "id": "lock-up-holding-period-transfer-restriction-sanction-freeze-lien-and-pledge-artifact", "name": "Lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-017", "SRC-022" ] } ], "inline_only_rationale": null }, { "id": "securities-lending-borrow-repo-collateral-short-sale-recall-and-return-reference", "name": "Securities lending, borrow, repo, collateral, short sale, recall and return reference", "description": "Records securities lending, borrow, repo, collateral, short sale, recall and return reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-017", "SRC-022" ], "questions": [ { "id": "securities-lending-borrow-repo-collateral-short-sale-recall-and-return-reference-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish securities lending, borrow, repo, collateral, short sale, recall and return reference?", "kind": "relationship", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "securities-lending-borrow-repo-collateral-short-sale-recall-and-return-reference-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access securities lending, borrow, repo, collateral, short sale, recall and return reference, under what authority and role?", "kind": "access", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "securities-lending-borrow-repo-collateral-short-sale-recall-and-return-reference-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify securities lending, borrow, repo, collateral, short sale, recall and return reference?", "kind": "lifecycle", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "securities-lending-borrow-repo-collateral-short-sale-recall-and-return-reference-data", "name": "Securities lending, borrow, repo, collateral, short sale, recall and return reference data", "description": "Typed values and references needed to answer the governed questions for securities lending, borrow, repo, collateral, short sale, recall and return reference without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-017", "SRC-022" ] } ], "artifacts": [ { "id": "securities-lending-borrow-repo-collateral-short-sale-recall-and-return-reference-artifact", "name": "Securities lending, borrow, repo, collateral, short sale, recall and return reference evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting securities lending, borrow, repo, collateral, short sale, recall and return reference.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-017", "SRC-022" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "position-change-reconciliation-and-lineage", "name": "Position change, reconciliation and lineage", "description": "Bind operational events and preserve append-only balance history without making the holding a transaction ledger", "rationale": "Bind operational events and preserve append-only balance history without making the holding a transaction ledger", "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022", "SRC-002", "SRC-004", "SRC-023" ], "layers": [ { "id": "transaction-settlement-and-position-change", "name": "Transaction, settlement and position change", "description": "Groups governed findings for transaction, settlement and position change while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ], "findings": [ { "id": "order-trade-allocation-netting-settlement-payment-and-ledger-reference", "name": "Order, trade, allocation, netting, settlement, payment and ledger reference", "description": "Records order, trade, allocation, netting, settlement, payment and ledger reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ], "questions": [ { "id": "order-trade-allocation-netting-settlement-payment-and-ledger-reference-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish order, trade, allocation, netting, settlement, payment and ledger reference?", "kind": "relationship", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "order-trade-allocation-netting-settlement-payment-and-ledger-reference-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access order, trade, allocation, netting, settlement, payment and ledger reference, under what authority and role?", "kind": "exception", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "order-trade-allocation-netting-settlement-payment-and-ledger-reference-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify order, trade, allocation, netting, settlement, payment and ledger reference?", "kind": "temporal", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "order-trade-allocation-netting-settlement-payment-and-ledger-reference-data", "name": "Order, trade, allocation, netting, settlement, payment and ledger reference data", "description": "Typed values and references needed to answer the governed questions for order, trade, allocation, netting, settlement, payment and ledger reference without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ] } ], "artifacts": [ { "id": "order-trade-allocation-netting-settlement-payment-and-ledger-reference-artifact", "name": "Order, trade, allocation, netting, settlement, payment and ledger reference evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting order, trade, allocation, netting, settlement, payment and ledger reference.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ] } ], "inline_only_rationale": null }, { "id": "acquisition-disposal-transfer-delivery-receipt-cancellation-and-reversal", "name": "Acquisition, disposal, transfer, delivery, receipt, cancellation and reversal", "description": "Records acquisition, disposal, transfer, delivery, receipt, cancellation and reversal as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ], "questions": [ { "id": "acquisition-disposal-transfer-delivery-receipt-cancellation-and-reversal-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish acquisition, disposal, transfer, delivery, receipt, cancellation and reversal?", "kind": "event", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "acquisition-disposal-transfer-delivery-receipt-cancellation-and-reversal-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access acquisition, disposal, transfer, delivery, receipt, cancellation and reversal, under what authority and role?", "kind": "interoperability", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "acquisition-disposal-transfer-delivery-receipt-cancellation-and-reversal-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify acquisition, disposal, transfer, delivery, receipt, cancellation and reversal?", "kind": "provenance", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "acquisition-disposal-transfer-delivery-receipt-cancellation-and-reversal-data", "name": "Acquisition, disposal, transfer, delivery, receipt, cancellation and reversal data", "description": "Typed values and references needed to answer the governed questions for acquisition, disposal, transfer, delivery, receipt, cancellation and reversal without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ] } ], "artifacts": [ { "id": "acquisition-disposal-transfer-delivery-receipt-cancellation-and-reversal-artifact", "name": "Acquisition, disposal, transfer, delivery, receipt, cancellation and reversal evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting acquisition, disposal, transfer, delivery, receipt, cancellation and reversal.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ] } ], "inline_only_rationale": null } ] }, { "id": "observation-reconciliation-and-successor-lineage", "name": "Observation, reconciliation and successor lineage", "description": "Groups governed findings for observation, reconciliation and successor lineage while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-022", "SRC-023" ], "findings": [ { "id": "position-date-effective-time-observation-time-ingestion-time-and-knowledge-time", "name": "Position date, effective time, observation time, ingestion time and knowledge time", "description": "Records position date, effective time, observation time, ingestion time and knowledge time as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-022", "SRC-023" ], "questions": [ { "id": "position-date-effective-time-observation-time-ingestion-time-and-knowledge-time-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish position date, effective time, observation time, ingestion time and knowledge time?", "kind": "temporal", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "position-date-effective-time-observation-time-ingestion-time-and-knowledge-time-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access position date, effective time, observation time, ingestion time and knowledge time, under what authority and role?", "kind": "decision", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "position-date-effective-time-observation-time-ingestion-time-and-knowledge-time-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify position date, effective time, observation time, ingestion time and knowledge time?", "kind": "ownership", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "position-date-effective-time-observation-time-ingestion-time-and-knowledge-time-data", "name": "Position date, effective time, observation time, ingestion time and knowledge time data", "description": "Typed values and references needed to answer the governed questions for position date, effective time, observation time, ingestion time and knowledge time without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-022", "SRC-023" ] } ], "artifacts": [ { "id": "position-date-effective-time-observation-time-ingestion-time-and-knowledge-time-artifact", "name": "Position date, effective time, observation time, ingestion time and knowledge time evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting position date, effective time, observation time, ingestion time and knowledge time.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-022", "SRC-023" ] } ], "inline_only_rationale": null }, { "id": "reconciliation-break-correction-split-merge-account-transfer-and-successor", "name": "Reconciliation break, correction, split, merge, account transfer and successor", "description": "Records reconciliation break, correction, split, merge, account transfer and successor as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-022", "SRC-023" ], "questions": [ { "id": "reconciliation-break-correction-split-merge-account-transfer-and-successor-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish reconciliation break, correction, split, merge, account transfer and successor?", "kind": "validation", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "reconciliation-break-correction-split-merge-account-transfer-and-successor-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access reconciliation break, correction, split, merge, account transfer and successor, under what authority and role?", "kind": "identity", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "reconciliation-break-correction-split-merge-account-transfer-and-successor-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify reconciliation break, correction, split, merge, account transfer and successor?", "kind": "authority", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "reconciliation-break-correction-split-merge-account-transfer-and-successor-data", "name": "Reconciliation break, correction, split, merge, account transfer and successor data", "description": "Typed values and references needed to answer the governed questions for reconciliation break, correction, split, merge, account transfer and successor without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-022", "SRC-023" ] } ], "artifacts": [ { "id": "reconciliation-break-correction-split-merge-account-transfer-and-successor-artifact", "name": "Reconciliation break, correction, split, merge, account transfer and successor evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting reconciliation break, correction, split, merge, account transfer and successor.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-022", "SRC-023" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "corporate-action-eligibility-instruction-and-outcome", "name": "Corporate-action eligibility, instruction and outcome", "description": "Connect a position to security events and outcomes while event, entitlement, instruction and movement masters stay independent", "rationale": "Connect a position to security events and outcomes while event, entitlement, instruction and movement masters stay independent", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021", "SRC-022" ], "layers": [ { "id": "event-eligibility-and-entitlement", "name": "Event eligibility and entitlement", "description": "Groups governed findings for event eligibility and entitlement while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ], "findings": [ { "id": "corporate-action-event-announcement-ex-date-record-date-election-and-payment-date", "name": "Corporate-action event, announcement, ex date, record date, election and payment date", "description": "Records corporate-action event, announcement, ex date, record date, election and payment date as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ], "questions": [ { "id": "corporate-action-event-announcement-ex-date-record-date-election-and-payment-date-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish corporate-action event, announcement, ex date, record date, election and payment date?", "kind": "temporal", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "corporate-action-event-announcement-ex-date-record-date-election-and-payment-date-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access corporate-action event, announcement, ex date, record date, election and payment date, under what authority and role?", "kind": "classification", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "corporate-action-event-announcement-ex-date-record-date-election-and-payment-date-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify corporate-action event, announcement, ex date, record date, election and payment date?", "kind": "requirement", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "corporate-action-event-announcement-ex-date-record-date-election-and-payment-date-data", "name": "Corporate-action event, announcement, ex date, record date, election and payment date data", "description": "Typed values and references needed to answer the governed questions for corporate-action event, announcement, ex date, record date, election and payment date without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ] } ], "artifacts": [ { "id": "corporate-action-event-announcement-ex-date-record-date-election-and-payment-date-artifact", "name": "Corporate-action event, announcement, ex date, record date, election and payment date evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting corporate-action event, announcement, ex date, record date, election and payment date.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ] } ], "inline_only_rationale": null }, { "id": "eligible-quantity-entitled-quantity-rate-option-rounding-fraction-and-carry-forward", "name": "Eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward", "description": "Records eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ], "questions": [ { "id": "eligible-quantity-entitled-quantity-rate-option-rounding-fraction-and-carry-forward-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward?", "kind": "measurement", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "eligible-quantity-entitled-quantity-rate-option-rounding-fraction-and-carry-forward-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward, under what authority and role?", "kind": "composition", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "eligible-quantity-entitled-quantity-rate-option-rounding-fraction-and-carry-forward-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward?", "kind": "constraint", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "eligible-quantity-entitled-quantity-rate-option-rounding-fraction-and-carry-forward-data", "name": "Eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward data", "description": "Typed values and references needed to answer the governed questions for eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ] } ], "artifacts": [ { "id": "eligible-quantity-entitled-quantity-rate-option-rounding-fraction-and-carry-forward-artifact", "name": "Eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ] } ], "inline_only_rationale": null } ] }, { "id": "election-instruction-status-and-movement", "name": "Election, instruction, status and movement", "description": "Groups governed findings for election, instruction, status and movement while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-022" ], "findings": [ { "id": "option-default-election-instruction-deadline-agent-status-rejection-and-cancellation", "name": "Option, default, election, instruction, deadline, agent status, rejection and cancellation", "description": "Records option, default, election, instruction, deadline, agent status, rejection and cancellation as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-022" ], "questions": [ { "id": "option-default-election-instruction-deadline-agent-status-rejection-and-cancellation-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish option, default, election, instruction, deadline, agent status, rejection and cancellation?", "kind": "decision", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "option-default-election-instruction-deadline-agent-status-rejection-and-cancellation-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access option, default, election, instruction, deadline, agent status, rejection and cancellation, under what authority and role?", "kind": "relationship", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "option-default-election-instruction-deadline-agent-status-rejection-and-cancellation-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify option, default, election, instruction, deadline, agent status, rejection and cancellation?", "kind": "process", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "option-default-election-instruction-deadline-agent-status-rejection-and-cancellation-data", "name": "Option, default, election, instruction, deadline, agent status, rejection and cancellation data", "description": "Typed values and references needed to answer the governed questions for option, default, election, instruction, deadline, agent status, rejection and cancellation without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-022" ] } ], "artifacts": [ { "id": "option-default-election-instruction-deadline-agent-status-rejection-and-cancellation-artifact", "name": "Option, default, election, instruction, deadline, agent status, rejection and cancellation evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting option, default, election, instruction, deadline, agent status, rejection and cancellation.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-022" ] } ], "inline_only_rationale": null }, { "id": "cash-security-rights-tax-income-movement-confirmation-reversal-and-outcome-reference", "name": "Cash, security, rights, tax and income movement, confirmation, reversal and outcome reference", "description": "Records cash, security, rights, tax and income movement, confirmation, reversal and outcome reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-022" ], "questions": [ { "id": "cash-security-rights-tax-income-movement-confirmation-reversal-and-outcome-reference-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish cash, security, rights, tax and income movement, confirmation, reversal and outcome reference?", "kind": "relationship", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "cash-security-rights-tax-income-movement-confirmation-reversal-and-outcome-reference-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access cash, security, rights, tax and income movement, confirmation, reversal and outcome reference, under what authority and role?", "kind": "state", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "cash-security-rights-tax-income-movement-confirmation-reversal-and-outcome-reference-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify cash, security, rights, tax and income movement, confirmation, reversal and outcome reference?", "kind": "event", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "cash-security-rights-tax-income-movement-confirmation-reversal-and-outcome-reference-data", "name": "Cash, security, rights, tax and income movement, confirmation, reversal and outcome reference data", "description": "Typed values and references needed to answer the governed questions for cash, security, rights, tax and income movement, confirmation, reversal and outcome reference without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-022" ] } ], "artifacts": [ { "id": "cash-security-rights-tax-income-movement-confirmation-reversal-and-outcome-reference-artifact", "name": "Cash, security, rights, tax and income movement, confirmation, reversal and outcome reference evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting cash, security, rights, tax and income movement, confirmation, reversal and outcome reference.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-022" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "valuation-reporting-governance-and-interoperability", "name": "Valuation, reporting, governance and interoperability", "description": "Expose qualified views and protected projections without replacing accounting, regulatory or source-system authority", "rationale": "Expose qualified views and protected projections without replacing accounting, regulatory or source-system authority", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014", "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ], "layers": [ { "id": "valuation-accounting-risk-and-regulatory-disclosure", "name": "Valuation, accounting, risk and regulatory disclosure", "description": "Groups governed findings for valuation, accounting, risk and regulatory disclosure while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014" ], "findings": [ { "id": "price-value-currency-source-method-market-accrual-income-gain-loss-and-exposure", "name": "Price, value, currency, source, method, market, accrual, income, gain, loss and exposure", "description": "Records price, value, currency, source, method, market, accrual, income, gain, loss and exposure as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014" ], "questions": [ { "id": "price-value-currency-source-method-market-accrual-income-gain-loss-and-exposure-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish price, value, currency, source, method, market, accrual, income, gain, loss and exposure?", "kind": "provenance", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "price-value-currency-source-method-market-accrual-income-gain-loss-and-exposure-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access price, value, currency, source, method, market, accrual, income, gain, loss and exposure, under what authority and role?", "kind": "lifecycle", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "price-value-currency-source-method-market-accrual-income-gain-loss-and-exposure-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify price, value, currency, source, method, market, accrual, income, gain, loss and exposure?", "kind": "measurement", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "price-value-currency-source-method-market-accrual-income-gain-loss-and-exposure-data", "name": "Price, value, currency, source, method, market, accrual, income, gain, loss and exposure data", "description": "Typed values and references needed to answer the governed questions for price, value, currency, source, method, market, accrual, income, gain, loss and exposure without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014" ] } ], "artifacts": [ { "id": "price-value-currency-source-method-market-accrual-income-gain-loss-and-exposure-artifact", "name": "Price, value, currency, source, method, market, accrual, income, gain, loss and exposure evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting price, value, currency, source, method, market, accrual, income, gain, loss and exposure.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014" ] } ], "inline_only_rationale": null }, { "id": "beneficial-ownership-percentage-voting-power-threshold-filing-and-public-disclosure", "name": "Beneficial ownership, percentage, voting power, threshold, filing and public disclosure", "description": "Records beneficial ownership, percentage, voting power, threshold, filing and public disclosure as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014" ], "questions": [ { "id": "beneficial-ownership-percentage-voting-power-threshold-filing-and-public-disclosure-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish beneficial ownership, percentage, voting power, threshold, filing and public disclosure?", "kind": "privacy", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "beneficial-ownership-percentage-voting-power-threshold-filing-and-public-disclosure-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access beneficial ownership, percentage, voting power, threshold, filing and public disclosure, under what authority and role?", "kind": "temporal", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "beneficial-ownership-percentage-voting-power-threshold-filing-and-public-disclosure-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify beneficial ownership, percentage, voting power, threshold, filing and public disclosure?", "kind": "evidence", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "beneficial-ownership-percentage-voting-power-threshold-filing-and-public-disclosure-data", "name": "Beneficial ownership, percentage, voting power, threshold, filing and public disclosure data", "description": "Typed values and references needed to answer the governed questions for beneficial ownership, percentage, voting power, threshold, filing and public disclosure without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014" ] } ], "artifacts": [ { "id": "beneficial-ownership-percentage-voting-power-threshold-filing-and-public-disclosure-artifact", "name": "Beneficial ownership, percentage, voting power, threshold, filing and public disclosure evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting beneficial ownership, percentage, voting power, threshold, filing and public disclosure.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-010", "SRC-014" ] } ], "inline_only_rationale": null } ] }, { "id": "provenance-access-identifiers-and-projections", "name": "Provenance, access, identifiers and projections", "description": "Groups governed findings for provenance, access, identifiers and projections while preserving the Security Holding boundary and source authority.", "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ], "findings": [ { "id": "source-actor-evidence-digest-confidence-conflict-access-legal-hold-and-retention", "name": "Source, actor, evidence, digest, confidence, conflict, access, legal hold and retention", "description": "Records source, actor, evidence, digest, confidence, conflict, access, legal hold and retention as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ], "questions": [ { "id": "source-actor-evidence-digest-confidence-conflict-access-legal-hold-and-retention-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish source, actor, evidence, digest, confidence, conflict, access, legal hold and retention?", "kind": "access", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "source-actor-evidence-digest-confidence-conflict-access-legal-hold-and-retention-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access source, actor, evidence, digest, confidence, conflict, access, legal hold and retention, under what authority and role?", "kind": "provenance", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "source-actor-evidence-digest-confidence-conflict-access-legal-hold-and-retention-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify source, actor, evidence, digest, confidence, conflict, access, legal hold and retention?", "kind": "quality", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "source-actor-evidence-digest-confidence-conflict-access-legal-hold-and-retention-data", "name": "Source, actor, evidence, digest, confidence, conflict, access, legal hold and retention data", "description": "Typed values and references needed to answer the governed questions for source, actor, evidence, digest, confidence, conflict, access, legal hold and retention without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "artifacts": [ { "id": "source-actor-evidence-digest-confidence-conflict-access-legal-hold-and-retention-artifact", "name": "Source, actor, evidence, digest, confidence, conflict, access, legal hold and retention evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting source, actor, evidence, digest, confidence, conflict, access, legal hold and retention.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "inline_only_rationale": null }, { "id": "isin-cfi-figi-lei-currency-iso-message-fibo-api-document-version-and-semantic-loss", "name": "ISIN, CFI, FIGI, LEI, currency, ISO message, FIBO, API and document version and semantic loss", "description": "Records isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.", "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ], "questions": [ { "id": "isin-cfi-figi-lei-currency-iso-message-fibo-api-document-version-and-semantic-loss-q01", "text": "Which stable holding, version, holder capacity, security, account or register context and master-system identities establish isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss?", "kind": "interoperability", "answer_data": [ "holding and version identifiers, namespace, position key, predecessor and successor", "security, issuance, account, register, custody chain, holder and capacity references", "source status, effective interval, observation time, knowledge time and confidence" ] }, { "id": "isin-cfi-figi-lei-currency-iso-message-fibo-api-document-version-and-semantic-loss-q02", "text": "Who owns, holds, controls, services, reports, validates, changes or may access isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss, under what authority and role?", "kind": "ownership", "answer_data": [ "legal owner, beneficial owner, registered holder, nominee, custodian, account servicer, manager, issuer and authority roles", "agreement, mandate, title evidence, disclosure rule, access purpose, approval and delegated authority", "assertion owner, source, reviewer, steward, contested state and applicable restriction" ] }, { "id": "isin-cfi-figi-lei-currency-iso-message-fibo-api-document-version-and-semantic-loss-q03", "text": "Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss?", "kind": "validation", "answer_data": [ "quantity, unit, percentage, settled, available, blocked, pledged, lent, borrowed and pending balances", "lot, acquisition, disposal, trade, settlement, corporate action, entitlement, instruction, movement and external outcome references", "source record, digest, reconciliation result, contradiction, event and knowledge times and semantic-loss declaration" ] } ], "data_elements": [ { "id": "isin-cfi-figi-lei-currency-iso-message-fibo-api-document-version-and-semantic-loss-data", "name": "ISIN, CFI, FIGI, LEI, currency, ISO message, FIBO, API and document version and semantic loss data", "description": "Typed values and references needed to answer the governed questions for isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss without copying external master lifecycles.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "artifacts": [ { "id": "isin-cfi-figi-lei-currency-iso-message-fibo-api-document-version-and-semantic-loss-artifact", "name": "ISIN, CFI, FIGI, LEI, currency, ISO message, FIBO, API and document version and semantic loss evidence manifest", "description": "Digest-addressed manifest for authoritative balance assertions, rights, events, reconciliations, mappings and external records supporting isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss.", "media_or_form": [ "application/json", "application/yaml", "text/markdown", "external reference" ], "serial": true, "identity_strategy": "Authoritative master-system identifier first, otherwise governed IRI, then Dimension UUID or ULID; include immutable revision and digest.", "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "inline_only_rationale": null } ] } ] } ] }, "functions": [ { "id": "register-security-holding", "name": "Register security holding", "description": "Governed operation to register security holding without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "authoritative position namespace, holder capacity and proposed identity", "security and account or register references" ], "outputs": [ "validated holding head and immutable initial version" ], "preconditions": [ "identity, duplicate, authority and source-account checks pass" ], "effects": [ "mints no security instrument, trade, payment or ownership determination" ], "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-007", "SRC-022" ] }, { "id": "bind-instrument-account-and-parties", "name": "Bind instrument, account and parties", "description": "Governed operation to bind instrument, account and parties without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "holding version and security identifiers", "account, register, custody-chain and party-role references" ], "outputs": [ "qualified holding context graph" ], "preconditions": [ "external masters, capacity and relationship direction resolve" ], "effects": [ "preserves instrument, account, custody and party authority" ], "source_refs": [ "SRC-007", "SRC-008", "SRC-011", "SRC-012", "SRC-013", "SRC-015" ] }, { "id": "append-balance-observation", "name": "Append balance observation", "description": "Governed operation to append balance observation without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "holding identity, position date and source statement", "quantity, unit and balance-bucket assertions" ], "outputs": [ "immutable source-qualified balance observation" ], "preconditions": [ "unit, source, account, effective and observation times resolve" ], "effects": [ "never overwrites prior observations or equates settled with available quantity" ], "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-021" ] }, { "id": "allocate-lots-and-cost-context", "name": "Allocate lots and cost context", "description": "Governed operation to allocate lots and cost context without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "holding and transaction references", "lot method, quantity, cost, currency and tax or accounting basis" ], "outputs": [ "versioned lot allocation projection" ], "preconditions": [ "method, jurisdiction, source and rounding policy are explicit" ], "effects": [ "does not convert derived cost basis into ownership or market value" ], "source_refs": [ "SRC-001", "SRC-005", "SRC-006", "SRC-014", "SRC-022" ] }, { "id": "record-rights-restrictions-and-encumbrances", "name": "Record rights, restrictions and encumbrances", "description": "Governed operation to record rights, restrictions and encumbrances without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "holding version and source-qualified legal or contractual basis", "right, capacity, restriction and external encumbrance references" ], "outputs": [ "qualified rights and availability view" ], "preconditions": [ "authority, scope, quantity, effective interval and evidence resolve" ], "effects": [ "does not infer beneficial ownership, control, perfection, enforceability or voting outcome" ], "source_refs": [ "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-017" ] }, { "id": "append-transaction-derived-position-change", "name": "Append transaction-derived position change", "description": "Governed operation to append transaction-derived position change without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "current holding head and external transaction or settlement event", "quantity delta, effective time and source" ], "outputs": [ "immutable change assertion and successor head" ], "preconditions": [ "event identity, direction, unit, authority and predecessor checks pass" ], "effects": [ "keeps order, trade, settlement, payment, ledger and holding events distinct" ], "source_refs": [ "SRC-001", "SRC-003", "SRC-005", "SRC-007", "SRC-021", "SRC-022" ] }, { "id": "reconcile-source-positions", "name": "Reconcile source positions", "description": "Governed operation to reconcile source positions without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "source position snapshots and account or register contexts", "matching policy, tolerances and knowledge cut" ], "outputs": [ "reconciliation report, explained differences and unresolved breaks" ], "preconditions": [ "identities, units, dates, capacities and source priorities are explicit" ], "effects": [ "never merges positions or erases conflicts solely from similar totals" ], "source_refs": [ "SRC-002", "SRC-003", "SRC-004", "SRC-007", "SRC-023" ] }, { "id": "derive-corporate-action-position-view", "name": "Derive corporate-action position view", "description": "Governed operation to derive corporate-action position view without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "holding snapshot and external corporate-action event", "record date, option, rate, rounding and authority" ], "outputs": [ "source-qualified eligibility, entitlement, election and outcome bindings" ], "preconditions": [ "event, position date, eligible quantity, deadline and instruction authority resolve" ], "effects": [ "does not turn eligibility into accepted instruction, movement, payment or tax result" ], "source_refs": [ "SRC-008", "SRC-009", "SRC-018", "SRC-020", "SRC-021" ] }, { "id": "validate-and-project", "name": "Validate and project", "description": "Governed operation to validate and project without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "holding version, target profile and exact external release", "access policy and semantic-loss budget" ], "outputs": [ "validation report and loss-declaring projection" ], "preconditions": [ "identity, balance, time, source, authority, access and mapping checks pass" ], "effects": [ "never claims legal, accounting, reporting or standard conformance from field similarity" ], "source_refs": [ "SRC-011", "SRC-012", "SRC-015", "SRC-016", "SRC-019", "SRC-020", "SRC-024" ] }, { "id": "archive-retain-and-audit", "name": "Archive, retain and audit", "description": "Governed operation to archive, retain and audit without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.", "inputs": [ "holding aggregate, authoritative record links and retention context", "legal hold, record class and disposition authority" ], "outputs": [ "locked archive, retention outcome or audit event" ], "preconditions": [ "digest, source, authority, access, legal-hold and retention checks pass" ], "effects": [ "does not cascade destruction into instruments, accounts, trades, corporate actions, filings or records" ], "source_refs": [ "SRC-007", "SRC-021", "SRC-022", "SRC-024" ] } ], "composition": [ { "target": "WM-ECO-005 Credit / Security", "relation": "REFERENCE", "purpose": "Preserve candidate category context without approving an EXTEND edge from a classifier scheduled for split.", "required": false, "source_refs": [ "SRC-001", "SRC-003", "SRC-012", "SRC-017" ] }, { "target": "WM-ECO-037 Debt Instrument and other Security Instrument models", "relation": "REFERENCE", "purpose": "Resolve the referenced security definition while preserving the position as an independent aggregate.", "required": true, "source_refs": [ "SRC-001", "SRC-005", "SRC-011", "SRC-012", "SRC-015" ] }, { "target": "Party, Ownership, Account, Register, Custody, Trade, Settlement, Payment, Ledger, Tax Lot, Valuation, Corporate Action, Filing and Records models", "relation": "REFERENCE", "purpose": "Resolve external masters without duplicating their identity, lifecycle or authority.", "required": false, "source_refs": [ "SRC-003", "SRC-007", "SRC-008", "SRC-010", "SRC-022" ] }, { "target": "ISO 6166, ISO 10962, ISO 17442, ISO 4217 and FIGI 1.2", "relation": "ALIGN", "purpose": "Map security, class, entity and currency identifiers with edition pins and non-equivalence rules.", "required": false, "source_refs": [ "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015" ] }, { "target": "FIBO security assets and corporate actions, ISO 20022, RFC 3339, PROV-O, DQV and ODRL", "relation": "ALIGN", "purpose": "Project semantic, message, temporal, provenance, quality and access-policy views with version and loss controls.", "required": false, "source_refs": [ "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "serviceLayers": { "dimension": { "owner_package_requirements": [ "Dimension owner, namespace authority and delegated investment, custody, legal, accounting, tax, risk, compliance, privacy, security and records authorities", "Authoritative Security Instrument, Issuance, Party, Account, Register, Custody, Trade, Settlement, Payment, Ledger, Tax Lot, Valuation, Corporate Action, Filing and Records registries", "Approved position-class, instrument, currency, jurisdiction, calendar, identifier, access, retention and interoperability profiles", "Holding creation, reconciliation, correction, disclosure, projection, archive and agent-operation policies" ], "namespace_guidance": "Mint holding, version, balance-observation, lot-allocation, right, restriction, relation, lifecycle and projection IDs; preserve every external instrument, account, transaction, event and filing identifier.", "registry_links": [ "https://ver.cy/models/", "https://ver.cy/model-agent-protocol.md" ] }, "canon_and_patch": { "canonicalization_rules": [ "Canonicalize by authoritative source-position identifier or by the declared holder-capacity, security, account or register context, position class and master system, never by holder name or quantity alone.", "Keep source positions separate from consolidated portfolio views and keep instrument, account, trade, settlement, payment, corporate action and filing records independently canonical." ], "patch_rules": [ "Extensions declare position class, holder capacity, security, account context, balance buckets, rights, restrictions, lifecycle, corporate action, disclosure, access and interoperability effects.", "Source snapshots and reported versions are immutable; correction, split, merge, transfer and supersession create linked successors with reason, authority and affected balances.", "Never silently change holder capacity, instrument, account, quantity, unit, lot, right, restriction, source, effective time, access or external master reference." ], "compatibility_rules": [ "Ignore additive fields only when position identity, holder capacity, security, account context, quantity, unit, source, effective and knowledge times, authority, access and provenance survive.", "Every ISO, FIGI, FIBO, regulatory, API, document or message projection pins versions and declares loss in identity, capacity, balances, rights, lifecycle, authority and state semantics." ] }, "artifact_rules": { "identity_priority": [ "Authoritative master-system identifier from the custodian, depository, registrar, account servicer, investment manager, holder or regulator, qualified by namespace and record kind.", "Governed globally resolvable holding or artifact IRI.", "Dimension UUID or ULID when neither preceding identifier exists." ], "timestamp_rule": "Use RFC 3339 timestamps with seconds and explicit offset or Z; distinguish trade, allocation, settlement, effective ownership, record, ex, election, instruction, payment, observation, ingestion and knowledge times whenever they differ.", "serial_naming_rule": "Use {holding-id}--{holding-version-id}--{balance-or-event-id}--{artifact-kind}--{record-revision-id}.", "integrity_rule": "Store digest, media type, holding and version IDs, holder capacity, security and account references, quantity and unit profile, source, event and knowledge times, confidentiality, retention and provenance." }, "policies": [ "This model owns a source-qualified security holding position and its immutable balance and correction lineage, not the security, party, account, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, filing or records masters.", "Legal, registered, beneficial and economic interests and direct, indirect, nominee, custody, long and short capacities remain separately asserted.", "Quantity, ownership percentage, voting power, cost, market value, accounting carrying amount and regulatory exposure remain separately typed, sourced and timed.", "Trade, settlement, effective ownership, record-date eligibility, election, instruction, movement, payment and filing are independent events or states.", "Agents cannot autonomously trade, settle, transfer, vote, elect, instruct, determine beneficial ownership, calculate tax, file, disclose protected data or destroy records without explicit delegated authority." ], "crud": { "read": [ "Resolve holding, versions, holder capacity, security, account, custody chain, balance buckets, lots, rights, restrictions, external transactions, corporate actions, disclosures, provenance, access and mapping loss." ], "create": [ "Bind authoritative source namespace, holder capacity, security, account or register context, unit and initial balance observation before minting a holding." ], "update": [ "Append successor balance observations, lot allocations, rights, restrictions, external event bindings and corrections with reason, authority, event, effective and knowledge times." ], "delete": [ "Apply contractual, property, securities, tax, accounting, regulator, privacy, audit, legal-hold and Dimension retention policy; tombstone only the catalogue view and never cascade deletion to external masters." ] }, "roles": [ { "name": "Legal, registered, beneficial or economic holder", "responsibilities": [ "Supply or authorize source-qualified capacity, rights and interest assertions without claiming unsupported equivalence among them." ] }, { "name": "Issuer, registrar or transfer agent", "responsibilities": [ "Maintain external instrument, register and shareholder records and authoritative corporate-action notices within delegated scope." ] }, { "name": "Depository, custodian, subcustodian or account servicer", "responsibilities": [ "Maintain source accounts, segregated quantities, settlement and custody statements and evidence of the service chain." ] }, { "name": "Investment manager, broker or operations steward", "responsibilities": [ "Bind authorized transactions, instructions and reconciliations without overwriting source-system or holder authority." ] }, { "name": "Legal, accounting, tax, risk and compliance reviewer", "responsibilities": [ "Review classification, rights, restrictions, valuation, reporting and jurisdictional assumptions as separate authority planes." ] }, { "name": "Data, privacy, security and records steward", "responsibilities": [ "Maintain identifiers, provenance, quality, access, legal hold, retention, audit and safe projections." ] } ], "access": { "default_rule": "Deny by default for non-public holder, account, quantity, lot, cost, value, voting, restriction, transaction, tax and filing data; expose only purpose-limited minimum projections to authorized roles.", "scopes": [ "bundle", "layer", "finding", "artifact" ], "exceptions": [ "Statutory, issuer, regulator, court, insolvency, risk, audit and emergency uses require explicit authority, purpose, scope, minimization, time limit and audit trail." ], "audit_requirements": [ "Record actor, represented party, purpose, authority, fields, source and target, result, event time, knowledge time, policy version and correlation ID for every read, write, reconciliation, projection, disclosure, denial and retention action." ] }, "agents_bootstrap": { "filename": "AGENTS.md", "required_fields": [ "Name", "Type", "Specification URL", "Storage type URL", "Interface URL", "Processes URL", "Model ID", "Version", "Master systems", "Autonomy policy" ], "read_order": [ "Read the nearest Dimension AGENTS.md and owner policies.", "Read this AGENTS.md.", "Read spec.yaml identity, boundary, service layers, holds and Bundle to Layer to Finding structure.", "Resolve Security Instrument, Party, Account, Register, Custody, Trade, Settlement, Payment, Ledger, Tax Lot, Valuation, Corporate Action, Filing and Records masters.", "Validate holder capacity, source, authority, quantity unit, balance bucket, event and knowledge times, access, conflicts and successor lineage before acting." ] } }, "coverage": { "claim": "WM-ECO-038 covers one governed Equity / Security Holding as a source-qualified position binding a holder capacity, security and account or register context to balance observations, lots, rights, restrictions, changes, corporate-action views, reporting, provenance, access and loss-aware projections. Instrument-class, jurisdiction, legal-title, accounting, tax, licensing, implementation-conformance and independent-review questions remain deferred.", "confidence": "medium", "checklist": [ { "dimension": "identity", "status": "covered", "notes": "Identity is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "classification", "status": "covered", "notes": "Classification is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "composition", "status": "covered", "notes": "Composition is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "relationships", "status": "covered", "notes": "Relationships is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "state", "status": "covered", "notes": "State is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "lifecycle", "status": "covered", "notes": "Lifecycle is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "temporal", "status": "covered", "notes": "Temporal is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "spatial", "status": "gap", "notes": "Residence, market and account-location references are explicit where material, but geometry remains external to party, account, market and place masters." }, { "dimension": "provenance", "status": "covered", "notes": "Provenance is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "ownership", "status": "covered", "notes": "Ownership is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "authority", "status": "covered", "notes": "Authority is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "constraints", "status": "covered", "notes": "Constraints is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "processes", "status": "covered", "notes": "Processes is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "events", "status": "covered", "notes": "Events is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "measurements", "status": "covered", "notes": "Measurements is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "evidence", "status": "covered", "notes": "Evidence is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "quality", "status": "covered", "notes": "Quality is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "validation", "status": "covered", "notes": "Validation is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "security", "status": "covered", "notes": "Security is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "privacy", "status": "covered", "notes": "Privacy is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "retention", "status": "covered", "notes": "Retention is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "access", "status": "covered", "notes": "Access is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "exceptions", "status": "covered", "notes": "Exceptions is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "interoperability", "status": "covered", "notes": "Interoperability is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "direct properties", "status": "covered", "notes": "Direct properties is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "recognition", "status": "covered", "notes": "Recognition is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." }, { "dimension": "capabilities and actions", "status": "covered", "notes": "Capabilities and actions is explicit; external masters, position-class profiles, jurisdiction rules and candidate relations remain held where applicable." } ], "known_omissions": [ "Claude and Grok each timed out on one bounded attempt; no independent external result was admitted.", "WM-ECO-038 EXTEND WM-ECO-005 is a candidate relation against a category marked for split, not an approved inheritance edge.", "Equity, debt-security, fund-share, depositary-receipt, certificated, dematerialized, direct, indirect, omnibus, segregated, nominee, lending, repo and collateral positions require separate profiles.", "IFRS detail is licensed and accounting classification depends on facts and jurisdiction; no accounting conclusion or full IFRS conformance is claimed.", "FIBO master/latest ontology pages are development artifacts; production release pins and licensing review are required before implementation conformance." ], "conflicts": [ "Security instrument, issuance, account, holding, consolidated portfolio, order, trade, settlement, payment, ledger and regulatory filing are not interchangeable.", "Legal owner, registered holder, beneficial owner, economic interest holder, nominee, custodian and investment manager may legitimately differ.", "Quantity, ownership percentage, voting power, cost basis, carrying amount, market value, exposure and regulatory reported amount are different measurements.", "Record-date eligibility, derived entitlement, election, instruction acceptance, movement confirmation, payment and tax result carry different sources and authority." ], "regional_assumptions": [ "Property rights, intermediated holding systems, settlement finality, beneficial ownership, shareholder identification, disclosure thresholds, voting, tax and insolvency depend on jurisdiction and security class.", "ECB, EU and SEC sources are regional statistical, infrastructure or disclosure profiles and do not establish universal ownership law.", "CFI, FIGI, FIBO and ISO 20022 mappings require exact release, message variant, licensing and conformance evidence." ], "adversarial_checks": [ "Reject a holding without stable source identity or declared composite key, holder capacity, security, account or register context, quantity unit, source and time basis.", "Reject an instrument, account, trade, settlement, payment, valuation, corporate action or filing represented as the holding itself.", "Reject registered holder, nominee or custodian status represented as ultimate beneficial ownership without external authority.", "Reject settled, available, free, pledged, lent, borrowed, blocked, pending and entitled quantities collapsed into one balance.", "Reject a consolidated view that erases source positions, custody chain, capacity, reconciliation differences or conflicting assertions.", "Reject autonomous trade, transfer, vote, election, instruction, ownership determination, tax, filing, disclosure or destruction outside delegated authority." ] }, "researchAdjudication": { "providerMode": "single-provider-waiver", "activeProviders": [ "codex" ], "waivedProviders": [ "claude", "grok" ], "providerPolicy": { "contract_version": "1.0.0", "mode": "single-provider-waiver", "effective_at": "2026-09-06T00:00:00Z", "scope": "Canonical single-stream subject-model research after the six-workstream consolidation", "active_providers": [ "codex" ], "waived_providers": [ { "provider": "claude", "authorized_by": "repository owner", "authorized_at": "2026-09-06T00:00:00Z", "reason": "Claude produced no result on prior 1800-second and 900-second attempts and again timed out on bounded 600-second Sonnet and 300-second Haiku passes. The owner prioritized completion over provider availability." }, { "provider": "grok", "authorized_by": "repository owner", "authorized_at": "2026-09-06T00:00:00Z", "reason": "The repository owner authorized completion without Grok when Grok is unavailable, slow or schema-invalid. Grok may still be attempted as a bounded supplemental reviewer, but its failure never blocks a valid Claude plus no-tools result." } ], "review_rule": "Codex may complete source-grounded fallback research after bounded Claude and Grok attempts fail. It requires a separate no-tools adversarial audit and remains reviewable-draft with a visible absence-of-external-review hold.", "supplemental_provider_attempts": [ { "provider": "claude", "required": false, "maximum_attempts": 1, "failure_policy": "record-and-continue", "admission_rule": "Use only a locally schema-valid result whose sources and boundaries survive adjudication." }, { "provider": "grok", "required": false, "maximum_attempts": 1, "failure_policy": "record-and-continue", "admission_rule": "Use only a locally schema-valid result whose sources and boundaries survive adjudication." } ] }, "boundaryDecision": { "entry_kind": "aggregate", "status": "accepted", "rationale": "The model owns a source-qualified holding position, balance assertions, position-scoped rights and restrictions and immutable correction lineage. Security, party, ownership determination, account, custody, trade, settlement, payment, ledger, valuation, corporate action, tax, filing and records remain external masters." }, "decisions": [ { "concept": "Equity / Security Holding boundary", "disposition": "accepted-as-source-position-aggregate", "rationale": "The aggregate binds a holder capacity, security and account or register context to source-qualified balances without becoming the instrument, account or owner." }, { "concept": "WM-ECO-005 candidate extension", "disposition": "held-as-provisional-reference", "rationale": "The former Credit / Security parent is marked for split, so it cannot safely supply inheritance semantics or cascade authority." }, { "concept": "Security instrument and holding", "disposition": "accepted-as-separate-identities", "rationale": "The instrument owns contractual or issuance terms while a holding identifies a holder-capacity position and quantity in that instrument at time." }, { "concept": "Source position and consolidated portfolio", "disposition": "accepted-as-master-versus-projection", "rationale": "A consolidated view must retain every source position, custody chain, capacity, unit, knowledge cut and reconciliation difference." }, { "concept": "Legal, registered, beneficial and economic interests", "disposition": "accepted-as-distinct-assertion-classes", "rationale": "The holder of record, nominee, custodian, beneficial owner and economic interest holder may differ and require separately sourced authority." }, { "concept": "Quantity, percentage, voting power and value", "disposition": "accepted-as-distinct-measurements", "rationale": "Position quantity does not by itself establish ownership percentage, voting power, cost, carrying amount, market value or regulatory exposure." }, { "concept": "Trade, settlement and ownership timing", "disposition": "accepted-as-independent-events-and-clocks", "rationale": "Order, trade, allocation, settlement, payment, book entry and effective ownership have different identities, states and applicable time rules." }, { "concept": "Balance availability buckets", "disposition": "accepted-as-non-fungible-state-axes", "rationale": "Settled, available, blocked, pledged, lent, borrowed, pending and entitled quantities cannot be collapsed without losing operational and legal meaning." }, { "concept": "Corporate-action position lifecycle", "disposition": "accepted-as-linked-position-view", "rationale": "The holding supplies a dated quantity and capacity view while event, eligibility rule, entitlement, election, instruction, movement, payment and tax outcomes remain external records." }, { "concept": "Regulatory disclosure", "disposition": "accepted-as-regional-projection-not-ownership-truth", "rationale": "Threshold filings and shareholder-identification reports are purpose and jurisdiction specific and may omit interests or intermediary-chain detail." }, { "concept": "Identifier and interoperability standards", "disposition": "accepted-as-versioned-loss-aware-alignments", "rationale": "ISIN, CFI, FIGI, FIBO and ISO 20022 serve different identity, classification, ontology and message purposes and do not define one universal storage interface." }, { "concept": "Single-provider waiver and local no-tools audit", "disposition": "accepted-with-mandatory-hold", "rationale": "One bounded Claude Sonnet and one bounded Grok attempt each timed out after 120 seconds. Codex separately audited the frozen validated result and comparison without acquiring new facts, so assurance remains reviewable-draft." } ], "publicationHolds": [ "Absence-of-external-review hold: one Claude Sonnet and one Grok attempt for WM-ECO-038 each timed out after 120 seconds; no external result was admitted.", "Boundary hold: the aggregate owns source-qualified holding positions and correction lineage while instrument, ownership, account, custody, transaction, corporate-action, filing and records masters remain external.", "Relation hold: WM-ECO-038 EXTEND WM-ECO-005 remains a candidate relation because the former Credit / Security category is marked for split.", "Position-class hold: equity, debt-security, fund-share, depositary-receipt, direct, indirect, omnibus, segregated, nominee, lending, repo and collateral positions need separate validation profiles.", "Jurisdiction hold: property rights, intermediated holding systems, settlement finality, shareholder identity, beneficial ownership, voting, tax, insolvency and disclosure depend on jurisdiction and security class.", "Accounting hold: IFRS pages establish boundaries but licensed text, jurisdictional adoption and entity-specific conclusions remain outside this draft; no full IFRS conformance is claimed.", "Identity hold: source position keys, composite identities, cross-custodian consolidation, account transfers, splits and merges require master-specific reconciliation profiles.", "Capacity hold: legal owner, registered holder, beneficial owner, economic interest holder, nominee, custodian and investment manager remain separately sourced roles.", "Balance hold: settled, available, blocked, pledged, lent, borrowed, pending, entitled and disputed quantities remain separately typed and timed.", "Corporate-action hold: eligibility, entitlement, election, instruction acceptance, movement, payment and tax outcomes require exact event and market profiles.", "FIBO release hold: master/latest ontology pages are development artifacts; implementation conformance requires an exact production release and licensing review.", "Interoperability hold: every ISO, FIGI, FIBO, regulatory, API, document or message projection needs exact release pins, conformance evidence and semantic-loss declarations.", "Review hold: securities operations, custody, investment, corporate actions, legal, accounting, tax, risk, data, security, records and independent external review are outstanding.", "Independent external review was explicitly waived by the repository owner; this codex-only result remains a reviewable draft." ], "deferredResearch": [ "Approve or reject the WM-ECO-005 candidate relation after Credit, Security Instrument, Debt Instrument, Equity Instrument and Holding boundaries are normalized.", "Create independently validated equity, debt-security, fund-share, depositary-receipt, direct, indirect, omnibus, segregated, nominee, lending, repo and collateral-position profiles.", "Benchmark source-position identity, account and custody mapping, balance-bucket reconciliation, lot allocation, corporate-action eligibility and cross-system consolidation.", "Validate jurisdiction, legal-title, beneficial-ownership, voting, disclosure, tax, insolvency, settlement-finality, privacy and retention rules.", "Pin exact external releases and licensing conditions and obtain independent securities, custody, investment, legal, accounting, tax, data and records review before promotion beyond reviewable-draft assurance." ] }, "statistics": { "sources": 24, "bundles": 6, "layers": 12, "findings": 24, "questions": 72, "artifacts": 24, "functions": 10 } }