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docs: correct AEG-X-038 cost audit evidence

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2026-08-08 15:33:50 +09:00
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docs/CURRENT/AEG-X-038_BLOCKER.md
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- `docs/CURRENT/CATALOGS/WBS_MASTER.csv`, row `AEG-X-038`, requires reconfirmation of Fee/Tax/FX valid-time schedule decisions and explicitly prohibits a current single-value model.
- Its dependency, `AEG-X-009`, is recorded as completed in `docs/CURRENT/CATALOGS/WBS_PROGRESS_TRACKER.csv`.
- `docs/CURRENT/CATALOGS/DECISION_LOG.csv`, the source catalog, and the VS-02 governance documents contain no approved Fee/Tax/FX source authority or decision record.
- A repository search of application and test source (excluding generated web assets) found no `Fee`, `Tax`, `FX`, `commission`, or exchange-rate implementation path. The only relevant contract is `contracts/metrics/outcome-metrics.v2.json`, which names costs as a metric input but does not define schedules, sources, or valid-time semantics.
- A repository search of application and test source (excluding generated web assets) found **cost-related legacy references**, not an approved schedule implementation: `TradeExecution` persists a broker-supplied `Commission` value, and `VS04_PortfolioPolicy.EstimateRebalanceCost` has a `feePercent = 0.001m` default. Neither has source authority, account/venue/instrument scope, revision, valid-time, or correction evidence. `contracts/metrics/outcome-metrics.v2.json` likewise names costs as a metric input but does not define schedules, sources, or valid-time semantics.
## Assumption
- Applicable fee, tax, and FX terms vary by account, venue, instrument, jurisdiction, effective interval, and source publication/correction time. A default rate or a client-supplied value would violate REQ-COST-001 and the constitution's source/PIT rules.
- Applicable fee, tax, and FX terms vary by account, venue, instrument, jurisdiction, effective interval, and source publication/correction time. The observed `0.001m` default is not evidence of an approved rate and must not be extended or treated as a schedule. A client-supplied or broker-returned commission is an execution result, not approved decision input.
## Unknown / Decision Required
docs/CURRENT/CATALOGS/WBS_PROGRESS_TRACKER.csv
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@@ -31,7 +31,7 @@ AEG-VS-26-01,S2,VS-26,모델 승인 워크플로우 구현 (Maker-Checker Govern
AEG-VS-27-01,S2,VS-27,불변 감사 추적 구현 (Audit Trail / GDPR),COMPLETED,2026-08-07,"docs/CURRENT/SLICE_SPECS/VS-27-SLICE_SPEC.md; src/KArtSell.Modules.ModelOperations/Compliance/ (AuditSql.cs, GdprRetention.cs); tests/KArtSell.Integration.Tests/Compliance/AuditTrailTests.cs; commit 97444c9 (Workstream I, PR #24, merged to main)",PM/BE Lead,"✅ Backend implementation + tests complete: append-only audit_events table, GDPR retention tracking + redaction (actor_email→'<redacted>', customer_id→'<purged>'), PII fields (ip_address). 5/5 tests PASS run in isolation (2026-08-07). Also fixed same day (fix/dapper-underscore-mapping-and-build branch): ip_address (inet) and kis_response-style jsonb columns threw InvalidCastException when read through Dapper into a typed class; GdprRetention.RetentionEndsAt was declared DateTime against a DATE column, same failure mode; and a process-wide Dapper snake_case-mapping race condition (KArtSell.BuildingBlocks' [ModuleInitializer] only fires once that assembly loads — AuditSql doesn't reliably touch it) intermittently nulled out every column read from this table depending on unrelated test/host startup order. None of this had ever been exercised against a live database before. ⚠️ No frontend UI yet — in progress 2026-08-08. Renumbered from VS-04 to VS-27 on 2026-08-08 per docs/DECISIONS/ADR-WBS-001-slice-renumbering.md — VS-04 in WBS_MASTER.csv ('ApplyCorporateActions') was an unrelated, still-unimplemented slice and keeps its original number unchanged."
AEG-VS-05-01,S3,VS-05,정책·범위·실패상태 계약 확정,BLOCKED,-,docs/CURRENT/AEG-VS-05-01_BLOCKER.md,PM/Architect,"2026-08-08: blocked before implementation. WBS defines IngestFundamentalsPIT (REQ-FND-001/DAT-05/MIG-FND-001/002/J04/UI-FND-01/T-FND-001), but existing VS-05 architecture/data contracts define unrelated Risk Metrics. Declared VS-02 dependency is not concretely evidenced beyond AEG-VS-02-01. See blocker record for required PM/Architect decision and Gate G1 evidence. No build/test/migration claimed."
AEG-VS-06-01,S3,VS-06,정책·범위·실패상태 계약 확정,BLOCKED,-,docs/CURRENT/AEG-VS-06-01_BLOCKER.md,PM/Architect,"2026-08-08: blocked before implementation. WBS defines MaintainFeeTaxFxSchedule (REQ-COST-001/COST-01/02/MIG-COST-001/J04C/UI-COST-01/T-COST-001), but existing VS-06 architecture/data contracts define unrelated Stress Testing (STRESS-* / migration 0035). Declared VS-02 dependency is not concrete enough for Gate G1. See blocker record for required PM/Architect and Compliance/Owner decisions. No build/test/migration claimed."
AEG-X-038,S3,Cross,Reconfirm Fee/Tax/FX valid-time schedule decisions,BLOCKED,-,docs/CURRENT/AEG-X-038_BLOCKER.md,Ops/Tax,"2026-08-08: source-gap audit completed. AEG-X-009 dependency is complete, but no approved source authority, decision log, data contract, temporal/preference rules, or cost implementation was found. REQ-COST-001/T-COST-PIT cannot be safely implemented until Ops/Tax and Compliance/Owner approve the decisions in the blocker record. No build/test/migration claimed."
AEG-X-038,S3,Cross,Reconfirm Fee/Tax/FX valid-time schedule decisions,BLOCKED,-,docs/CURRENT/AEG-X-038_BLOCKER.md,Ops/Tax,"2026-08-08: source-gap audit completed. AEG-X-009 dependency is complete, but no approved source authority, decision log, data contract, or temporal/preference rules were found. Legacy references include persisted execution Commission and an unapproved 0.001m fee default; neither is a valid-time schedule. REQ-COST-001/T-COST-PIT cannot be safely implemented until Ops/Tax and Compliance/Owner approve the decisions in the blocker record. No build/test/migration claimed."
AEG-X-011,S4,Cross,Golden vector 고도화,BLOCKED,TBD,"AGENTS.md: Algorithm changes require Golden data",Quant/QA,"Gate 2 prerequisite. Blocked by Phase 1 completion. Corrected 2026-08-07: Phase 1 (Job 893/976) has not been started, not 'in progress' — see PHASE-1-SHADOW-RUN row. No countdown is currently running."
AEG-VS-09-01,S4,VS-09,BuildEvidenceSnapshot,BLOCKED,TBD,"CLAUDE.md: Evidence requires Phase 1 results",PM/Architect,"Gate 2 prerequisite. Blocked by Phase 1, which has not been started (confirmed 2026-08-07). No src/ implementation exists for this slice."
AEG-VS-10-01,S4,VS-10,매도 결정 엔진 구현 (GenerateSellDecision),COMPLETED,2026-08-07,"docs/CURRENT/SLICE_SPECS/VS-10-SLICE_SPEC.md; src/KArtSell.Modules.ModelOperations/SellDecision/ (SellDecisionEndpoints.cs, SellDecisionHandler.cs, SellDecisionSql.cs, SellPriorityRanker.cs); frontend/src/features/sell-decision/; tests/KArtSell.Integration.Tests/SellDecision/SellDecisionTests.cs; commit b1e38ac (Phase 3 J, PR #28, merged to main)",BE Lead/Quant Lead,"✅ Implementation complete (code + BE + FE + tests), matches WBS_MASTER's VS-10='GenerateSellDecision' definition (no ID collision here). Sell priority ranking (HARD_IMPAIRMENT→...→REENTRY_OPTION) with age/liquidity score boosts per VS-10-SLICE_SPEC.md. 32/32 tests PASS run in isolation (2026-08-07); one test (CalculateScore_HardImpairment_ReturnsLowestScore) had a wrong input value that happened to not exercise the >365-day age-boost branch the spec defines — fixed as a test bug, not a product bug (see fix/dapper-underscore-mapping-and-build branch). ⚠️ NOT validated: this row was previously (incorrectly) marked BLOCKED with reasoning 'Model must pass PBO/DSR validation' — that Gate-3/production-readiness validation genuinely still requires real Phase 1 shadow-run data and has not happened. Distinguish 'code implemented and unit/integration-tested' (done) from 'PBO/DSR-validated against real market data' (not done, blocked on Phase 1)."
1 WBS_ID Sprint Slice_ID Task Status Completion_Date Evidence_Link Owner Notes
31 AEG-VS-27-01 S2 VS-27 불변 감사 추적 구현 (Audit Trail / GDPR) COMPLETED 2026-08-07 docs/CURRENT/SLICE_SPECS/VS-27-SLICE_SPEC.md; src/KArtSell.Modules.ModelOperations/Compliance/ (AuditSql.cs, GdprRetention.cs); tests/KArtSell.Integration.Tests/Compliance/AuditTrailTests.cs; commit 97444c9 (Workstream I, PR #24, merged to main) PM/BE Lead ✅ Backend implementation + tests complete: append-only audit_events table, GDPR retention tracking + redaction (actor_email→'<redacted>', customer_id→'<purged>'), PII fields (ip_address). 5/5 tests PASS run in isolation (2026-08-07). Also fixed same day (fix/dapper-underscore-mapping-and-build branch): ip_address (inet) and kis_response-style jsonb columns threw InvalidCastException when read through Dapper into a typed class; GdprRetention.RetentionEndsAt was declared DateTime against a DATE column, same failure mode; and a process-wide Dapper snake_case-mapping race condition (KArtSell.BuildingBlocks' [ModuleInitializer] only fires once that assembly loads — AuditSql doesn't reliably touch it) intermittently nulled out every column read from this table depending on unrelated test/host startup order. None of this had ever been exercised against a live database before. ⚠️ No frontend UI yet — in progress 2026-08-08. Renumbered from VS-04 to VS-27 on 2026-08-08 per docs/DECISIONS/ADR-WBS-001-slice-renumbering.md — VS-04 in WBS_MASTER.csv ('ApplyCorporateActions') was an unrelated, still-unimplemented slice and keeps its original number unchanged.
32 AEG-VS-05-01 S3 VS-05 정책·범위·실패상태 계약 확정 BLOCKED - docs/CURRENT/AEG-VS-05-01_BLOCKER.md PM/Architect 2026-08-08: blocked before implementation. WBS defines IngestFundamentalsPIT (REQ-FND-001/DAT-05/MIG-FND-001/002/J04/UI-FND-01/T-FND-001), but existing VS-05 architecture/data contracts define unrelated Risk Metrics. Declared VS-02 dependency is not concretely evidenced beyond AEG-VS-02-01. See blocker record for required PM/Architect decision and Gate G1 evidence. No build/test/migration claimed.
33 AEG-VS-06-01 S3 VS-06 정책·범위·실패상태 계약 확정 BLOCKED - docs/CURRENT/AEG-VS-06-01_BLOCKER.md PM/Architect 2026-08-08: blocked before implementation. WBS defines MaintainFeeTaxFxSchedule (REQ-COST-001/COST-01/02/MIG-COST-001/J04C/UI-COST-01/T-COST-001), but existing VS-06 architecture/data contracts define unrelated Stress Testing (STRESS-* / migration 0035). Declared VS-02 dependency is not concrete enough for Gate G1. See blocker record for required PM/Architect and Compliance/Owner decisions. No build/test/migration claimed.
34 AEG-X-038 S3 Cross Reconfirm Fee/Tax/FX valid-time schedule decisions BLOCKED - docs/CURRENT/AEG-X-038_BLOCKER.md Ops/Tax 2026-08-08: source-gap audit completed. AEG-X-009 dependency is complete, but no approved source authority, decision log, data contract, temporal/preference rules, or cost implementation was found. REQ-COST-001/T-COST-PIT cannot be safely implemented until Ops/Tax and Compliance/Owner approve the decisions in the blocker record. No build/test/migration claimed. 2026-08-08: source-gap audit completed. AEG-X-009 dependency is complete, but no approved source authority, decision log, data contract, or temporal/preference rules were found. Legacy references include persisted execution Commission and an unapproved 0.001m fee default; neither is a valid-time schedule. REQ-COST-001/T-COST-PIT cannot be safely implemented until Ops/Tax and Compliance/Owner approve the decisions in the blocker record. No build/test/migration claimed.
35 AEG-X-011 S4 Cross Golden vector 고도화 BLOCKED TBD AGENTS.md: Algorithm changes require Golden data Quant/QA Gate 2 prerequisite. Blocked by Phase 1 completion. Corrected 2026-08-07: Phase 1 (Job 893/976) has not been started, not 'in progress' — see PHASE-1-SHADOW-RUN row. No countdown is currently running.
36 AEG-VS-09-01 S4 VS-09 BuildEvidenceSnapshot BLOCKED TBD CLAUDE.md: Evidence requires Phase 1 results PM/Architect Gate 2 prerequisite. Blocked by Phase 1, which has not been started (confirmed 2026-08-07). No src/ implementation exists for this slice.
37 AEG-VS-10-01 S4 VS-10 매도 결정 엔진 구현 (GenerateSellDecision) COMPLETED 2026-08-07 docs/CURRENT/SLICE_SPECS/VS-10-SLICE_SPEC.md; src/KArtSell.Modules.ModelOperations/SellDecision/ (SellDecisionEndpoints.cs, SellDecisionHandler.cs, SellDecisionSql.cs, SellPriorityRanker.cs); frontend/src/features/sell-decision/; tests/KArtSell.Integration.Tests/SellDecision/SellDecisionTests.cs; commit b1e38ac (Phase 3 J, PR #28, merged to main) BE Lead/Quant Lead ✅ Implementation complete (code + BE + FE + tests), matches WBS_MASTER's VS-10='GenerateSellDecision' definition (no ID collision here). Sell priority ranking (HARD_IMPAIRMENT→...→REENTRY_OPTION) with age/liquidity score boosts per VS-10-SLICE_SPEC.md. 32/32 tests PASS run in isolation (2026-08-07); one test (CalculateScore_HardImpairment_ReturnsLowestScore) had a wrong input value that happened to not exercise the >365-day age-boost branch the spec defines — fixed as a test bug, not a product bug (see fix/dapper-underscore-mapping-and-build branch). ⚠️ NOT validated: this row was previously (incorrectly) marked BLOCKED with reasoning 'Model must pass PBO/DSR validation' — that Gate-3/production-readiness validation genuinely still requires real Phase 1 shadow-run data and has not happened. Distinguish 'code implemented and unit/integration-tested' (done) from 'PBO/DSR-validated against real market data' (not done, blocked on Phase 1).