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RegTech / Supervisory View

Purpose

Provide risk and supervisory teams a read-only portfolio lens for pipeline integrity, IC governance, and SLA adherence.

What supervisors can monitor

  • Pipeline distribution by stage (status_counts)
  • Overdue tasks and open workload (task_health)
  • Deals missing IC decisions (deals_without_ic_decision)
  • Open monitoring alerts (/api/v1/monitoring/alerts)
  • Upcoming closes in the next 30 days (upcoming_closes_30d)

Key endpoints

  • GET /api/v1/monitoring/portfolio
  • GET /api/v1/monitoring/deals/{deal_id}
  • GET /api/v1/monitoring/alerts
  • POST /api/v1/monitoring/alerts/run

SLA oversight

SLA breach detection runs through Celery (monitor_sla_task) and flags overdue tasks using is_overdue=true. Supervisors can verify this at both deal and portfolio level without write permissions.

Regulator-facing exports

  • Full mutation history: python scripts/export_audit_log.py
  • Monitoring evidence: GET /api/v1/monitoring/* snapshots and alert records

Suggested regulator access package

  • Read-only API token/user
  • CSV export of audit_logs
  • Point-in-time portfolio monitoring JSON
  • List of open alerts and remediation owners