@openauditmodel/cli 0.4.1 → 0.4.2

package/examples/profiles/financial-transaction-management/invalid/withdrawal-missing-approval-status.json

@@ -0,0 +1,96 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0037-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T10:31:57.019Z",
+  "event": {
+    "name": "financial.withdrawal.execute",
+    "category": "data-modification",
+    "type": "execute",
+    "outcome": "success",
+    "severity": "high",
+    "summary": "Client cash withdrawal released under dual control."
+  },
+  "actor": {
+    "type": "user",
+    "id": "user-3391",
+    "tenantId": "tenant-44",
+    "roles": ["treasury-operator"]
+  },
+  "subject": {
+    "type": "user",
+    "id": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "resource": {
+    "type": "account",
+    "id": "account-ref-2201",
+    "name": "client-cash-account",
+    "classification": "restricted",
+    "ownerId": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "relatedResources": [
+    {
+      "type": "external-account",
+      "id": "counterparty-ref-44"
+    }
+  ],
+  "application": {
+    "name": "brokerage-ledger",
+    "environment": "production",
+    "version": "9.1.4"
+  },
+  "organization": {
+    "tenantId": "tenant-44",
+    "businessUnitId": "treasury"
+  },
+  "request": {
+    "requestId": "request-7a01d92",
+    "correlationId": "withdrawal-lifecycle-2201"
+  },
+  "authentication": {
+    "method": "mfa",
+    "mfa": true,
+    "provider": "corporate-idp",
+    "assuranceLevel": "high"
+  },
+  "authorization": {
+    "decision": "allow",
+    "policy": "cash-withdrawal-policy",
+    "policyVersion": "5"
+  },
+  "approval": {
+    "workflowId": "treasury-dual-control",
+    "requestId": "approval-req-3318",
+    "requiredApprovals": 2,
+    "receivedApprovals": 2,
+    "approvers": [
+      {
+        "type": "user",
+        "id": "user-4477"
+      },
+      {
+        "type": "user",
+        "id": "user-4482"
+      }
+    ],
+    "approvedAt": "2026-03-14T10:29:40Z"
+  },
+  "reason": {
+    "code": "client-instruction",
+    "text": "Client instructed a cash withdrawal to their registered destination.",
+    "reference": "case-88041"
+  },
+  "controlCategories": ["financial-transaction-integrity", "segregation-of-duties"],
+  "metadata": {
+    "financial": {
+      "transactionId": "txn-2026-0314-0128",
+      "amount": 75000,
+      "currency": "USD",
+      "direction": "outbound",
+      "status": "settled",
+      "approvalRequired": true,
+      "manual": false
+    }
+  }
+}

package/examples/profiles/financial-transaction-management/invalid/withdrawal-missing-correlation.json

@@ -0,0 +1,96 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0032-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T10:31:57.019Z",
+  "event": {
+    "name": "financial.withdrawal.execute",
+    "category": "data-modification",
+    "type": "execute",
+    "outcome": "success",
+    "severity": "high",
+    "summary": "Client cash withdrawal released under dual control."
+  },
+  "actor": {
+    "type": "user",
+    "id": "user-3391",
+    "tenantId": "tenant-44",
+    "roles": ["treasury-operator"]
+  },
+  "subject": {
+    "type": "user",
+    "id": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "resource": {
+    "type": "account",
+    "id": "account-ref-2201",
+    "name": "client-cash-account",
+    "classification": "restricted",
+    "ownerId": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "relatedResources": [
+    {
+      "type": "external-account",
+      "id": "counterparty-ref-44"
+    }
+  ],
+  "application": {
+    "name": "brokerage-ledger",
+    "environment": "production",
+    "version": "9.1.4"
+  },
+  "organization": {
+    "tenantId": "tenant-44",
+    "businessUnitId": "treasury"
+  },
+  "request": {
+    "requestId": "request-7a01d92"
+  },
+  "authentication": {
+    "method": "mfa",
+    "mfa": true,
+    "provider": "corporate-idp",
+    "assuranceLevel": "high"
+  },
+  "authorization": {
+    "decision": "allow",
+    "policy": "cash-withdrawal-policy",
+    "policyVersion": "5"
+  },
+  "approval": {
+    "status": "approved",
+    "workflowId": "treasury-dual-control",
+    "requestId": "approval-req-3318",
+    "requiredApprovals": 2,
+    "receivedApprovals": 2,
+    "approvers": [
+      {
+        "type": "user",
+        "id": "user-4477"
+      },
+      {
+        "type": "user",
+        "id": "user-4482"
+      }
+    ],
+    "approvedAt": "2026-03-14T10:29:40Z"
+  },
+  "reason": {
+    "code": "client-instruction",
+    "text": "Client instructed a cash withdrawal to their registered destination.",
+    "reference": "case-88041"
+  },
+  "controlCategories": ["financial-transaction-integrity", "segregation-of-duties"],
+  "metadata": {
+    "financial": {
+      "transactionId": "txn-2026-0314-0128",
+      "amount": 75000,
+      "currency": "USD",
+      "direction": "outbound",
+      "status": "settled",
+      "approvalRequired": true,
+      "manual": false
+    }
+  }
+}

package/examples/profiles/financial-transaction-management/not-applicable/balance-view.json

@@ -0,0 +1,36 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0021-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T09:03:12.881Z",
+  "event": {
+    "name": "financial.balance.view",
+    "category": "data-access",
+    "type": "read",
+    "outcome": "success",
+    "summary": "Account balance displayed in the client portal."
+  },
+  "actor": {
+    "type": "user",
+    "id": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "resource": {
+    "type": "account",
+    "id": "account-ref-2201",
+    "classification": "restricted",
+    "ownerId": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "application": {
+    "name": "brokerage-ledger",
+    "environment": "production",
+    "version": "9.1.4"
+  },
+  "organization": {
+    "tenantId": "tenant-44"
+  },
+  "request": {
+    "requestId": "request-7a10c02",
+    "correlationId": "portal-session-4471"
+  }
+}

package/examples/profiles/financial-transaction-management/not-applicable/quote-create.json

@@ -0,0 +1,33 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0022-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T09:04:48.117Z",
+  "event": {
+    "name": "financial.quote.create",
+    "category": "data-access",
+    "outcome": "success",
+    "summary": "Indicative price quote produced for a prospective order. No value moved."
+  },
+  "actor": {
+    "type": "service",
+    "id": "pricing-engine",
+    "tenantId": "tenant-44"
+  },
+  "resource": {
+    "type": "quote",
+    "id": "quote-ref-31908",
+    "tenantId": "tenant-44"
+  },
+  "application": {
+    "name": "brokerage-pricing",
+    "environment": "production",
+    "version": "9.1.4"
+  },
+  "organization": {
+    "tenantId": "tenant-44"
+  },
+  "request": {
+    "requestId": "request-7a10d55",
+    "correlationId": "portal-session-4471"
+  }
+}

package/examples/profiles/financial-transaction-management/not-applicable/report-generate.json

@@ -0,0 +1,36 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0023-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T20:00:03.442Z",
+  "event": {
+    "name": "financial.report.generate",
+    "category": "data-access",
+    "type": "export",
+    "outcome": "success",
+    "summary": "Scheduled end-of-day position report produced for the treasury team."
+  },
+  "actor": {
+    "type": "service",
+    "id": "reporting-scheduler",
+    "tenantId": "tenant-12"
+  },
+  "resource": {
+    "type": "report",
+    "id": "report-end-of-day-2026-0314",
+    "classification": "internal",
+    "tenantId": "tenant-12"
+  },
+  "application": {
+    "name": "treasury-reporting",
+    "environment": "production",
+    "version": "6.0.2"
+  },
+  "organization": {
+    "tenantId": "tenant-12",
+    "businessUnitId": "treasury"
+  },
+  "request": {
+    "requestId": "request-7a11e63",
+    "correlationId": "reporting-cycle-2026-0314"
+  }
+}

package/examples/profiles/financial-transaction-management/valid/chargeback-open.json

@@ -0,0 +1,73 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0008-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T14:07:33.910Z",
+  "event": {
+    "name": "financial.chargeback.open",
+    "category": "workflow",
+    "type": "create",
+    "outcome": "success",
+    "severity": "high",
+    "summary": "Counterparty raised a dispute against a settled payment and provisionally debited the merchant."
+  },
+  "actor": {
+    "type": "external",
+    "id": "acquirer-network-gateway"
+  },
+  "resource": {
+    "type": "chargeback-case",
+    "id": "dispute-ref-6620",
+    "ownerId": "account-ref-781",
+    "tenantId": "tenant-12"
+  },
+  "relatedResources": [
+    {
+      "type": "payment",
+      "id": "payment-ref-4412"
+    },
+    {
+      "type": "account",
+      "id": "account-ref-781"
+    }
+  ],
+  "application": {
+    "name": "payment-service",
+    "environment": "production",
+    "version": "4.2.1",
+    "component": "dispute-intake"
+  },
+  "organization": {
+    "tenantId": "tenant-12"
+  },
+  "request": {
+    "requestId": "request-7a05c73",
+    "correlationId": "payment-lifecycle-4412"
+  },
+  "authentication": {
+    "method": "certificate",
+    "provider": "acquirer-mutual-tls"
+  },
+  "authorization": {
+    "decision": "allow",
+    "policy": "dispute-intake-policy",
+    "policyVersion": "2"
+  },
+  "reason": {
+    "code": "cardholder-dispute",
+    "text": "Counterparty reported that the cardholder did not recognise the transaction.",
+    "reference": "dispute-case-6620"
+  },
+  "controlCategories": ["financial-transaction-integrity", "dispute-handling"],
+  "metadata": {
+    "financial": {
+      "transactionId": "txn-2026-0314-0174",
+      "originalTransactionId": "txn-2026-0314-0091",
+      "amount": 148.5,
+      "currency": "EUR",
+      "direction": "outbound",
+      "status": "disputed",
+      "approvalRequired": false,
+      "manual": false
+    }
+  }
+}

package/examples/profiles/financial-transaction-management/valid/deposit-manual-correction.json

@@ -0,0 +1,86 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0005-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T11:14:26.744Z",
+  "event": {
+    "name": "financial.deposit.record",
+    "category": "data-modification",
+    "type": "update",
+    "outcome": "success",
+    "severity": "high",
+    "summary": "Operator corrected an under-posted deposit after a partner file was reprocessed."
+  },
+  "actor": {
+    "type": "user",
+    "id": "user-5120",
+    "tenantId": "tenant-12",
+    "roles": ["ledger-operator"]
+  },
+  "resource": {
+    "type": "account",
+    "id": "account-ref-781",
+    "name": "operating-account",
+    "classification": "confidential",
+    "tenantId": "tenant-12"
+  },
+  "relatedResources": [
+    {
+      "type": "reconciliation-run",
+      "id": "recon-2026-0313-eu-02"
+    }
+  ],
+  "application": {
+    "name": "ledger-service",
+    "environment": "production",
+    "version": "3.8.0"
+  },
+  "organization": {
+    "tenantId": "tenant-12",
+    "businessUnitId": "finance-operations"
+  },
+  "request": {
+    "requestId": "request-7a02f61",
+    "correlationId": "deposit-lifecycle-0140"
+  },
+  "authentication": {
+    "method": "mfa",
+    "mfa": true,
+    "provider": "corporate-idp"
+  },
+  "authorization": {
+    "decision": "allow",
+    "policy": "ledger-correction-policy",
+    "policyVersion": "4"
+  },
+  "approval": {
+    "status": "approved",
+    "workflowId": "ledger-correction-review",
+    "requiredApprovals": 1,
+    "receivedApprovals": 1,
+    "approvers": [{ "type": "user", "id": "user-4477" }],
+    "approvedAt": "2026-03-14T11:12:03Z"
+  },
+  "change": {
+    "type": "update",
+    "changedFields": ["postedAmount"],
+    "before": { "postedAmount": 980 },
+    "after": { "postedAmount": 1080 }
+  },
+  "reason": {
+    "code": "partner-file-restatement",
+    "text": "Partner restated the settlement file, so the posted deposit was corrected by hand.",
+    "reference": "case-88112"
+  },
+  "controlCategories": ["financial-transaction-integrity", "manual-intervention"],
+  "metadata": {
+    "financial": {
+      "transactionId": "txn-2026-0314-0140",
+      "amount": 100,
+      "currency": "EUR",
+      "direction": "credit",
+      "status": "posted",
+      "approvalRequired": true,
+      "manual": true
+    }
+  }
+}

package/examples/profiles/financial-transaction-management/valid/limit-update.json

@@ -0,0 +1,92 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0012-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T19:33:41.205Z",
+  "event": {
+    "name": "financial.limit.update",
+    "category": "configuration",
+    "type": "update",
+    "outcome": "success",
+    "severity": "high",
+    "summary": "Daily withdrawal ceiling raised for a client account after a documented review."
+  },
+  "actor": {
+    "type": "admin",
+    "id": "user-3391",
+    "tenantId": "tenant-44",
+    "roles": ["treasury-controls-admin"]
+  },
+  "subject": {
+    "type": "user",
+    "id": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "resource": {
+    "type": "transaction-limit",
+    "id": "limit-ref-55",
+    "name": "daily-withdrawal-ceiling",
+    "ownerId": "user-7712",
+    "tenantId": "tenant-44"
+  },
+  "relatedResources": [
+    {
+      "type": "account",
+      "id": "account-ref-2201"
+    }
+  ],
+  "application": {
+    "name": "treasury-controls",
+    "environment": "production",
+    "version": "9.1.4"
+  },
+  "organization": {
+    "tenantId": "tenant-44",
+    "businessUnitId": "treasury"
+  },
+  "request": {
+    "requestId": "request-7a09b18",
+    "correlationId": "limit-review-5521"
+  },
+  "authentication": {
+    "method": "mfa",
+    "mfa": true,
+    "provider": "corporate-idp",
+    "assuranceLevel": "high"
+  },
+  "authorization": {
+    "decision": "allow",
+    "policy": "transaction-limit-policy",
+    "policyVersion": "4"
+  },
+  "approval": {
+    "status": "approved",
+    "workflowId": "limit-change-review",
+    "requiredApprovals": 2,
+    "receivedApprovals": 2,
+    "approvers": [
+      { "type": "user", "id": "user-4477" },
+      { "type": "user", "id": "user-4482" }
+    ],
+    "approvedAt": "2026-03-14T19:30:22Z"
+  },
+  "change": {
+    "type": "update",
+    "changedFields": ["dailyWithdrawalCeiling"],
+    "before": { "dailyWithdrawalCeiling": 25000 },
+    "after": { "dailyWithdrawalCeiling": 100000 }
+  },
+  "reason": {
+    "code": "documented-client-review",
+    "text": "Client onboarding review supported a higher ceiling for the account.",
+    "reference": "case-88203"
+  },
+  "controlCategories": ["preventive-control-change", "change-approval"],
+  "metadata": {
+    "financial": {
+      "limitType": "daily-withdrawal-limit",
+      "currency": "USD",
+      "approvalRequired": true,
+      "manual": false
+    }
+  }
+}

package/examples/profiles/financial-transaction-management/valid/payment-capture.json

@@ -0,0 +1,70 @@
+{
+  "specVersion": "0.1",
+  "id": "018f2c90-0001-7a2b-9c3d-4e5f60718293",
+  "time": "2026-03-14T09:12:44.310Z",
+  "event": {
+    "name": "financial.payment.capture",
+    "category": "data-modification",
+    "type": "execute",
+    "outcome": "success",
+    "severity": "medium",
+    "summary": "Authorized payment captured after the order was fulfilled."
+  },
+  "actor": {
+    "type": "service",
+    "id": "payment-capture-worker",
+    "tenantId": "tenant-12"
+  },
+  "resource": {
+    "type": "payment",
+    "id": "payment-ref-4412",
+    "name": "order-88214-payment",
+    "ownerId": "account-ref-781",
+    "tenantId": "tenant-12"
+  },
+  "application": {
+    "name": "payment-service",
+    "environment": "production",
+    "version": "4.2.1",
+    "region": "eu-central"
+  },
+  "organization": {
+    "tenantId": "tenant-12"
+  },
+  "request": {
+    "requestId": "request-6f21a08",
+    "correlationId": "payment-lifecycle-4412"
+  },
+  "authentication": {
+    "method": "service-account",
+    "provider": "workload-identity"
+  },
+  "authorization": {
+    "decision": "allow",
+    "policy": "payment-capture-policy",
+    "policyVersion": "7"
+  },
+  "relatedResources": [
+    {
+      "type": "account",
+      "id": "account-ref-781",
+      "name": "merchant-receivables"
+    }
+  ],
+  "reason": {
+    "code": "order-fulfilled",
+    "text": "Goods dispatched, so the held authorization was captured."
+  },
+  "controlCategories": ["financial-transaction-integrity"],
+  "metadata": {
+    "financial": {
+      "transactionId": "txn-2026-0314-0091",
+      "amount": 148.5,
+      "currency": "EUR",
+      "direction": "inbound",
+      "status": "captured",
+      "approvalRequired": false,
+      "manual": false
+    }
+  }
+}