//! Compliance automation and report generation tests //! Validates automated compliance monitoring and regulatory submission processes #![allow(unused_crate_dependencies)] // TODO: Re-enable when compliance module is working // use core::compliance::compliance_reporting::*; // use chrono::{DateTime, Utc, Duration}; // use std::collections::HashMap; // use tokio; // TODO: Re-enable this entire test file when compliance module is implemented /* #[tokio::test] async fn test_automated_mifid_ii_reporting() { // Test automated MiFID II transaction reporting generation let config = ComplianceReportingConfig { database_url: "postgresql://test:test@localhost/compliance_test".to_string(), retention_policies: create_test_retention_policies(), encryption_config: create_test_encryption_config(), report_templates: create_mifid_report_templates(), ..Default::default() }; let reporter = ComplianceReporter::new(config).await.unwrap(); // Generate test trading events let trading_events = create_test_trading_events(100); for event in &trading_events { reporter.log_event(event).await.unwrap(); } // Generate MiFID II RTS 22 report let report_request = ReportRequest { report_type: ReportType::MiFIDII_RTS22, start_date: Utc::now() - Duration::days(1), end_date: Utc::now(), format: ReportFormat::XML, filters: HashMap::new(), }; let report = reporter.generate_report(&report_request).await.unwrap(); // Verify MiFID II report structure assert!(report.content.contains(" 1000); // PDF should have substantial content assert!(report.metadata.total_records == control_events.len()); assert!(!report.metadata.compliance_verified); // Should be false due to control failure // Check for control effectiveness summary let control_summary = reporter.get_control_effectiveness_summary( Utc::now() - Duration::days(90), Utc::now() ).await.unwrap(); assert!(control_summary.total_controls_tested == 4); assert!(control_summary.failed_controls == 1); assert!(control_summary.effectiveness_percentage < 100.0); } #[tokio::test] async fn test_iso27001_security_monitoring() { // Test automated ISO 27001 security incident monitoring let config = ComplianceReportingConfig { database_url: "postgresql://test:test@localhost/compliance_test".to_string(), retention_policies: create_test_retention_policies(), encryption_config: create_test_encryption_config(), report_templates: create_iso27001_report_templates(), ..Default::default() }; let reporter = ComplianceReporter::new(config).await.unwrap(); // Simulate security events let security_events = vec![ create_security_event("FAILED_LOGIN_ATTEMPT", "INFO", "Multiple failed login attempts detected"), create_security_event("UNAUTHORIZED_ACCESS", "HIGH", "Unauthorized access attempt to trading system"), create_security_event("DATA_BREACH_ATTEMPT", "CRITICAL", "Potential data exfiltration detected"), create_security_event("SYSTEM_UPDATE", "LOW", "Security patch applied successfully"), ]; for event in &security_events { reporter.log_event(event).await.unwrap(); } // Generate ISO 27001 security report let report_request = ReportRequest { report_type: ReportType::ISO27001_SecurityIncidents, start_date: Utc::now() - Duration::days(30), end_date: Utc::now(), format: ReportFormat::JSON, filters: HashMap::new(), }; let report = reporter.generate_report(&report_request).await.unwrap(); // Parse JSON report let report_data: serde_json::Value = serde_json::from_str(&report.content).unwrap(); // Verify security incident categorization assert!(report_data["security_incidents"].is_array()); assert!(report_data["risk_assessment"].is_object()); assert!(report_data["incident_summary"]["total_incidents"].as_u64().unwrap() == 4); assert!(report_data["incident_summary"]["critical_incidents"].as_u64().unwrap() == 1); } #[tokio::test] async fn test_automated_audit_trail_verification() { // Test automated audit trail integrity verification let config = ComplianceReportingConfig { database_url: "postgresql://test:test@localhost/compliance_test".to_string(), retention_policies: create_test_retention_policies(), encryption_config: create_test_encryption_config(), hash_verification_enabled: true, digital_signature_enabled: true, ..Default::default() }; let reporter = ComplianceReporter::new(config).await.unwrap(); // Create events with audit trail let audit_events = create_test_audit_events(50); for event in &audit_events { reporter.log_event(event).await.unwrap(); } // Verify audit trail integrity let verification_result = reporter.verify_audit_trail( Utc::now() - Duration::hours(1), Utc::now() ).await.unwrap(); // Check verification results assert!(verification_result.total_records_checked == audit_events.len()); assert!(verification_result.hash_verification_passed); assert!(verification_result.digital_signature_valid); assert!(verification_result.integrity_score >= 0.99); // Should be near perfect // Test tamper detection let tamper_test_result = reporter.detect_tampering( Utc::now() - Duration::hours(1), Utc::now() ).await.unwrap(); assert!(!tamper_test_result.tampering_detected); assert!(tamper_test_result.chain_integrity_maintained); } #[tokio::test] async fn test_data_retention_automation() { // Test automated data retention policy enforcement let retention_policies = HashMap::from([ ("TRADING_EVENTS".to_string(), Duration::days(2555)), // 7 years ("AUDIT_LOGS".to_string(), Duration::days(3650)), // 10 years ("TEMP_DATA".to_string(), Duration::days(30)), // 30 days ]); let config = ComplianceReportingConfig { database_url: "postgresql://test:test@localhost/compliance_test".to_string(), retention_policies, encryption_config: create_test_encryption_config(), auto_archive_enabled: true, ..Default::default() }; let reporter = ComplianceReporter::new(config).await.unwrap(); // Create old events that should be archived let old_events = vec![ create_old_event("TRADING_EVENT", Utc::now() - Duration::days(3000)), // Should be kept (< 7 years) create_old_event("TEMP_DATA", Utc::now() - Duration::days(60)), // Should be archived (> 30 days) create_old_event("AUDIT_LOG", Utc::now() - Duration::days(4000)), // Should be archived (> 10 years) ]; for event in &old_events { reporter.log_event(event).await.unwrap(); } // Run retention policy enforcement let retention_result = reporter.enforce_retention_policies().await.unwrap(); // Verify retention actions assert!(retention_result.records_processed == old_events.len()); assert!(retention_result.records_archived >= 1); // At least temp data should be archived assert!(retention_result.records_retained >= 1); // Trading events should be retained // Verify archived data is compressed and encrypted let archive_status = reporter.get_archive_status().await.unwrap(); assert!(archive_status.total_archived_records > 0); assert!(archive_status.compression_ratio > 0.5); // Should achieve some compression assert!(archive_status.encryption_verified); } #[tokio::test] async fn test_regulatory_submission_automation() { // Test automated regulatory submission preparation let config = ComplianceReportingConfig { database_url: "postgresql://test:test@localhost/compliance_test".to_string(), retention_policies: create_test_retention_policies(), encryption_config: create_test_encryption_config(), submission_endpoints: create_test_submission_endpoints(), ..Default::default() }; let reporter = ComplianceReporter::new(config).await.unwrap(); // Generate comprehensive trading data let trading_events = create_test_trading_events(1000); for event in &trading_events { reporter.log_event(event).await.unwrap(); } // Prepare MiFID II submission let submission_request = SubmissionRequest { regulation: "MiFID_II".to_string(), submission_type: "RTS22_DAILY".to_string(), reporting_date: Utc::now().date_naive(), format: SubmissionFormat::XML, encrypt_submission: true, digital_sign: true, }; let submission = reporter.prepare_submission(&submission_request).await.unwrap(); // Verify submission package assert!(submission.file_size > 1000); // Should have substantial content assert!(submission.checksum.len() == 64); // SHA-256 hash assert!(submission.digital_signature.is_some()); assert!(submission.encryption_verified); // Test submission validation let validation_result = reporter.validate_submission(&submission).await.unwrap(); assert!(validation_result.schema_valid); assert!(validation_result.data_integrity_verified); assert!(validation_result.signature_valid); // Verify submission meets regulatory requirements assert!(validation_result.regulatory_compliant); assert!(validation_result.submission_ready); } #[tokio::test] async fn test_real_time_compliance_monitoring() { // Test real-time compliance monitoring and alerting let config = ComplianceReportingConfig { database_url: "postgresql://test:test@localhost/compliance_test".to_string(), retention_policies: create_test_retention_policies(), encryption_config: create_test_encryption_config(), real_time_monitoring_enabled: true, alert_thresholds: create_test_alert_thresholds(), ..Default::default() }; let mut reporter = ComplianceReporter::new(config).await.unwrap(); // Set up alert subscribers let mut violation_receiver = reporter.subscribe_to_violations(); let mut warning_receiver = reporter.subscribe_to_warnings(); // Generate events that should trigger alerts let violation_event = create_compliance_violation_event(); let warning_event = create_compliance_warning_event(); reporter.log_event(&violation_event).await.unwrap(); reporter.log_event(&warning_event).await.unwrap(); // Check for real-time alerts tokio::time::timeout(Duration::from_millis(1000), async { let violation_alert = violation_receiver.recv().await.unwrap(); assert!(violation_alert.severity == "HIGH"); assert!(violation_alert.requires_immediate_action); let warning_alert = warning_receiver.recv().await.unwrap(); assert!(warning_alert.severity == "MEDIUM"); assert!(!warning_alert.requires_immediate_action); }).await.unwrap(); // Verify monitoring dashboard metrics let metrics = reporter.get_real_time_metrics().await.unwrap(); assert!(metrics.violations_last_hour >= 1); assert!(metrics.warnings_last_hour >= 1); assert!(metrics.compliance_score < 100.0); // Should be reduced due to violation } // Helper functions for test data creation fn create_test_retention_policies() -> HashMap { HashMap::from([ ("TRADING_EVENTS".to_string(), Duration::days(2555)), ("AUDIT_LOGS".to_string(), Duration::days(3650)), ("COMPLIANCE_REPORTS".to_string(), Duration::days(2555)), ]) } fn create_test_encryption_config() -> EncryptionConfig { EncryptionConfig { algorithm: "AES-256".to_string(), key_rotation_days: 90, hsm_enabled: false, key_derivation: "Argon2".to_string(), } } fn create_mifid_report_templates() -> HashMap { HashMap::from([ ("RTS22".to_string(), "mifid_rts22_template.xml".to_string()), ("BEST_EXECUTION".to_string(), "best_execution_template.pdf".to_string()), ]) } fn create_sox_report_templates() -> HashMap { HashMap::from([ ("SECTION_404".to_string(), "sox_404_template.pdf".to_string()), ("INTERNAL_CONTROLS".to_string(), "internal_controls_template.xlsx".to_string()), ]) } fn create_iso27001_report_templates() -> HashMap { HashMap::from([ ("SECURITY_INCIDENTS".to_string(), "security_incidents_template.json".to_string()), ("RISK_ASSESSMENT".to_string(), "risk_assessment_template.pdf".to_string()), ]) } fn create_test_submission_endpoints() -> HashMap { HashMap::from([ ("MiFID_II".to_string(), "https://test.esma.europa.eu/submission".to_string()), ("SOX".to_string(), "https://test.sec.gov/submission".to_string()), ]) } fn create_test_alert_thresholds() -> HashMap { HashMap::from([ ("VIOLATION_RATE_PER_HOUR".to_string(), 5.0), ("WARNING_RATE_PER_HOUR".to_string(), 20.0), ("COMPLIANCE_SCORE_THRESHOLD".to_string(), 85.0), ]) } fn create_test_trading_events(count: usize) -> Vec { (0..count).map(|i| ComplianceEvent { id: format!("TRADE_{:06}", i), event_type: "TRADE_EXECUTION".to_string(), timestamp: Utc::now() - Duration::minutes(i as i64), data: HashMap::from([ ("instrument".to_string(), "AAPL".to_string()), ("quantity".to_string(), (100 * (i + 1)).to_string()), ("price".to_string(), (150.0 + i as f64 * 0.1).to_string()), ]), compliance_status: "COMPLIANT".to_string(), risk_score: Some(i as f64 / count as f64 * 10.0), }).collect() } fn create_sox_control_event(control_type: &str, control_name: &str, passed: bool) -> ComplianceEvent { ComplianceEvent { id: format!("SOX_{}_{}", control_type, uuid::Uuid::new_v4()), event_type: "SOX_CONTROL_TEST".to_string(), timestamp: Utc::now(), data: HashMap::from([ ("control_type".to_string(), control_type.to_string()), ("control_name".to_string(), control_name.to_string()), ("test_result".to_string(), if passed { "PASS" } else { "FAIL" }.to_string()), ]), compliance_status: if passed { "COMPLIANT" } else { "VIOLATION" }.to_string(), risk_score: Some(if passed { 1.0 } else { 8.0 }), } } fn create_security_event(event_type: &str, severity: &str, description: &str) -> ComplianceEvent { ComplianceEvent { id: format!("SEC_{}_{}", event_type, uuid::Uuid::new_v4()), event_type: "SECURITY_EVENT".to_string(), timestamp: Utc::now(), data: HashMap::from([ ("security_event_type".to_string(), event_type.to_string()), ("severity".to_string(), severity.to_string()), ("description".to_string(), description.to_string()), ]), compliance_status: match severity { "CRITICAL" | "HIGH" => "VIOLATION", "MEDIUM" => "WARNING", _ => "COMPLIANT", }.to_string(), risk_score: Some(match severity { "CRITICAL" => 10.0, "HIGH" => 8.0, "MEDIUM" => 5.0, "LOW" => 2.0, _ => 1.0, }), } } fn create_test_audit_events(count: usize) -> Vec { (0..count).map(|i| ComplianceEvent { id: format!("AUDIT_{:06}", i), event_type: "AUDIT_LOG".to_string(), timestamp: Utc::now() - Duration::minutes(i as i64), data: HashMap::from([ ("action".to_string(), "TRADE_VALIDATION".to_string()), ("user".to_string(), format!("trader_{}", i % 10)), ("result".to_string(), "SUCCESS".to_string()), ]), compliance_status: "COMPLIANT".to_string(), risk_score: Some(1.0), }).collect() } fn create_old_event(event_type: &str, timestamp: DateTime) -> ComplianceEvent { ComplianceEvent { id: format!("OLD_{}_{}", event_type, uuid::Uuid::new_v4()), event_type: event_type.to_string(), timestamp, data: HashMap::from([ ("legacy_data".to_string(), "test_data".to_string()), ]), compliance_status: "COMPLIANT".to_string(), risk_score: Some(1.0), } } fn create_compliance_violation_event() -> ComplianceEvent { ComplianceEvent { id: format!("VIOLATION_{}", uuid::Uuid::new_v4()), event_type: "COMPLIANCE_VIOLATION".to_string(), timestamp: Utc::now(), data: HashMap::from([ ("violation_type".to_string(), "POSITION_LIMIT_BREACH".to_string()), ("severity".to_string(), "HIGH".to_string()), ]), compliance_status: "VIOLATION".to_string(), risk_score: Some(9.0), } } fn create_compliance_warning_event() -> ComplianceEvent { ComplianceEvent { id: format!("WARNING_{}", uuid::Uuid::new_v4()), event_type: "COMPLIANCE_WARNING".to_string(), timestamp: Utc::now(), data: HashMap::from([ ("warning_type".to_string(), "APPROACHING_LIMIT".to_string()), ("severity".to_string(), "MEDIUM".to_string()), ]), compliance_status: "WARNING".to_string(), risk_score: Some(5.0), } } // Additional data structures for testing #[derive(Debug, Clone)] struct EncryptionConfig { algorithm: String, key_rotation_days: u32, hsm_enabled: bool, key_derivation: String, } #[derive(Debug, Clone)] struct ComplianceEvent { id: String, event_type: String, timestamp: DateTime, data: HashMap, compliance_status: String, risk_score: Option, } #[derive(Debug, Clone)] struct ReportRequest { report_type: ReportType, start_date: DateTime, end_date: DateTime, format: ReportFormat, filters: HashMap, } #[derive(Debug, Clone)] enum ReportType { MiFIDII_RTS22, SOX_Section404, ISO27001_SecurityIncidents, } #[derive(Debug, Clone)] enum ReportFormat { XML, PDF, JSON, CSV, } #[derive(Debug, Clone)] struct SubmissionRequest { regulation: String, submission_type: String, reporting_date: NaiveDate, format: SubmissionFormat, encrypt_submission: bool, digital_sign: bool, } #[derive(Debug, Clone)] enum SubmissionFormat { XML, JSON, }*/