Operations & Compliance

Notification matrix, audit log retention, yield overdue tracking, and TVL cap enforcement.

Notification Event Matrix

V1: Email only. Critical notifications are locked ON — users cannot disable them.

Event	Admin	Operator	FM	Investor	Critical?
deposit_confirmed	—	Yes (granted)	Yes (Fund)	Yes	Yes
lp_minted	—	—	—	Yes	Yes
redemption_requested	—	Yes	Yes (Fund)	—	Yes
redemption_completed	—	—	—	Yes	Yes
yield_distributed	—	—	—	Yes	Yes
kyc_approved	—	—	—	Yes	Yes
kyc_rejected	—	—	—	Yes	Yes
sbt_mint_failed	Yes	—	—	—	Yes
lp_mint_failed	Yes	—	—	—	Yes
fm_notification_failed	Yes	—	—	—	Yes
pool_nav_update	—	Yes	Yes	—	No
pool_matured	Yes	Yes	Yes	Yes	Yes
large_deposit (>threshold)	Yes	Yes	—	—	No

Notification rules

• Critical = Yes: Always sent. Cannot be disabled in notification preferences.
• Critical = No: Respects notification_preferences table (email_enabled = true/false).
• Failed notifications retry 3x with exponential backoff before marking as FAILED.
• V1: Email channel only. Telegram/Slack deferred to V2.

Audit Log Retention & Export

Setting	Value
Retention period	2 years (730 days). Older records archived/deleted via scheduled job.
Export format	CSV. Admin-only (Operators cannot export).
Dashboard default	Last 48 hours. "View All" opens full log with date range filters.
PII in export	Wallet addresses included (pseudonymous). Emails NOT included.
Source table	activity_events — single audit source for V1.

Yield Overdue Tracking

Yield Overdue Tracking

Calculation: next_yield_due = last_distribution_date + yield_frequency

Trigger: If now > next_yield_due and no distribution recorded → set yield_overdue = true

Action: Alert Admin + Investors. Overdue badge shown on pool detail and admin yield dashboard.

TVL Cap Enforcement

TVL Cap Enforcement

Flag: investment_blocked BOOLEAN DEFAULT false on pools table.

1. On each successful LP mint → system recalculates: new_tvl = tvl + deposit_amount
2. If new_tvl >= capacity → set investment_blocked = true
3. On new deposit submission → check flag FIRST. If true → reject immediately, show "Pool is fully subscribed"
4. Admin CAN manually toggle investment_blocked (e.g., reopen after redemptions reduce TVL)

⚠️ Edge cases

• Deposits already PENDING when cap hit: continue processing (accepted before flag was set)
• PENDING deposit's LP mint pushes TVL over: still processes (flag was false at submission time)
• The flag is a forward-looking gate, not retroactive

D+7 Auto-Refund Safety Net

D+7 Auto-Refund Safety Net

Rule: If LP NOT minted within 7 days → contract auto-refunds USDC to investor.

refund_eligible_at = deposit_timestamp + 7 days

• AS_POOL: Shouldn't trigger (auto-mint is instant) — safety net only.
• FUND_POOL: Protects investor if FM is unresponsive.