599 lines
29 KiB
Python
599 lines
29 KiB
Python
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"""沙盘：风险 Agent（风控监测）端到端测试 — 权限矩阵 / 触发方式 / 纵深防御 / 对话线。
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真实 MySQL 双库（jinrong_core + jinrong_agent）+ 真实 DeepSeek（TestClient 进程内）。
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只测不改业务代码：发现问题仅断言 + 留痕，修复建议落 TEST-LOG 报告。
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用法：
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python scripts/dev/sandbox_risk_test.py # 全量跑，结尾清理业务数据（审计行保留）
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python scripts/dev/sandbox_risk_test.py --keep # 不清理，便于人工核验
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"""
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from __future__ import annotations
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import argparse
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import json
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import sys
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from datetime import datetime, timedelta
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from decimal import Decimal
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from pathlib import Path
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ROOT = Path(__file__).resolve().parents[2]
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sys.path.insert(0, str(ROOT))
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# Windows 控制台默认 cp936，中文输出会乱码；统一 UTF-8 直出（Git Bash 可读）。
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try:
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sys.stdout.reconfigure(encoding="utf-8", errors="replace")
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sys.stderr.reconfigure(encoding="utf-8", errors="replace")
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except Exception: # noqa: BLE001
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pass
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from fastapi.testclient import TestClient # noqa: E402
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from sqlalchemy import text # noqa: E402
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from app.config.settings import settings # noqa: E402
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from app.main import app # noqa: E402
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from app.repository.core_ro import CoreReadOnlyRepository # noqa: E402
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from app.repository.risk_repository import RiskRepository # noqa: E402
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from app.repository.threshold_repository import ThresholdRepository # noqa: E402
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from app.service.auth_service import issue_dev_token # noqa: E402
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from app.service.risk import agent_behavior_service, escalation_service # noqa: E402
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from app.utils.db import dispose_engines, get_engine # noqa: E402
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client = TestClient(app)
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PASS = WARN = FAIL = 0
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KEEP = False
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TRACKED: dict = {
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"trade_ids": set(),
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"alert_ids": set(),
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"threshold_ids": set(),
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"backdated_trace_ids": set(),
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"session_ids": set(),
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"l3_snapshot": [],
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"started_at": datetime.now(),
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}
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# ---------------------------------------------------------------------------
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# 基础工具
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# ---------------------------------------------------------------------------
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def agent_engine():
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return get_engine(settings.mysql_database)
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def core_engine():
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return get_engine(settings.mysql_core_database)
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def tok(sub, roles, token_type="staff", customer_id=None):
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return issue_dev_token(sub=sub, roles=roles, token_type=token_type, customer_id=customer_id)
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def hdr(t, agent_type):
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h = {"Authorization": f"Bearer {t}"}
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if agent_type is not None:
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h["X-Agent-Type"] = agent_type
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return h
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def _json(r):
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try:
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return r.json()
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except Exception:
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return {"raw": r.text[:200]}
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def get(path, t=None, agent_type=None, **params):
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headers = hdr(t, agent_type) if t else {}
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r = client.get(path, headers=headers, params=params)
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return r.status_code, _json(r)
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def post(path, t=None, agent_type=None, body=None):
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headers = hdr(t, agent_type) if t else {}
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r = client.post(path, headers=headers, json=body or {})
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return r.status_code, _json(r)
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def post_debug(path, role, actor, body=None):
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r = client.post(path, headers={"X-Debug-Role": role, "X-Debug-Actor": actor}, json=body or {})
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return r.status_code, _json(r)
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def get_debug(path, role, actor, **params):
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r = client.get(path, headers={"X-Debug-Role": role, "X-Debug-Actor": actor}, params=params)
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return r.status_code, _json(r)
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def expect(label, code, body, want_status, want_err=None, extra=""):
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"""断言 HTTP 状态码（+可选 error_code）；状态对但码不符记 WARN，状态错记 FAIL。"""
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global PASS, WARN, FAIL
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err = body.get("error_code")
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ok_status = code == want_status
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ok_err = (want_err is None) or (err == want_err)
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if ok_status and ok_err:
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PASS += 1
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verdict = "PASS"
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elif ok_status:
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WARN += 1
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verdict = "WARN"
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else:
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FAIL += 1
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verdict = "FAIL"
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want = f"{want_status}" + (f"/{want_err}" if want_err else "")
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detail = f"http={code} err={err} msg={(body.get('message') or '')[:100]}"
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if extra:
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detail += f" | {extra}"
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print(f" [{verdict}] {label} (want {want})")
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print(f" {detail}")
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def check(label, cond, detail=""):
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global PASS, FAIL
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if cond:
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PASS += 1
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print(f" [PASS] {label}" + (f" -> {detail}" if detail else ""))
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else:
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FAIL += 1
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print(f" [FAIL] {label}" + (f" -> {detail}" if detail else ""))
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def audit_count(event_type=None, decision=None, actor_id=None, agent_type=None):
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"""审计留痕核验：按条件 COUNT audit_log。"""
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where = ["1=1"]
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params = {}
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if event_type:
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where.append("event_type = :et")
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params["et"] = event_type
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if decision:
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where.append("decision = :dec")
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params["dec"] = decision
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if actor_id:
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where.append("actor_id = :aid")
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params["aid"] = actor_id
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if agent_type:
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where.append("agent_type = :agt")
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params["agt"] = agent_type
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with agent_engine().connect() as conn:
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return int(conn.execute(
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text(f"SELECT COUNT(*) FROM audit_log WHERE {' AND '.join(where)}"), params
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).scalar_one())
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def _fmt(v, n=110):
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s = str(v).replace("\n", " ")
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return s if len(s) <= n else s[: n - 1] + "…"
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# ---------------------------------------------------------------------------
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# 角色令牌
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# ---------------------------------------------------------------------------
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T = {
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"risk_officer": tok("STAFF-30001", ["risk_officer"]),
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"risk_manager": tok("STAFF-31001", ["risk_manager"]),
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"compliance": tok("STAFF-40001", ["compliance"]),
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"advisor": tok("STAFF-10086", ["advisor"]), # 名下含 CUST-1001/CUST-3001
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"advisor_other": tok("STAFF-10087", ["advisor"]), # 名下无 CUST-3001
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"customer": tok("CUST-9527", ["customer"], token_type="customer", customer_id="CUST-9527"),
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"risk_demo": tok("STAFF-90001", ["risk_officer", "risk_demo"]),
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"service_risk": tok("SVC-RISK-01", ["service_risk"], token_type="service"),
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}
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def do_trade(t, agent_type, customer_id, product_id, trade_type, amount):
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code, body = post(
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"/api/simulate/trade", t, agent_type,
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body={"customer_id": customer_id, "product_id": product_id,
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"trade_type": trade_type, "amount": amount},
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)
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if body.get("trade_id"):
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TRACKED["trade_ids"].add(body["trade_id"])
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for aid in (body.get("alert_ids") or []):
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TRACKED["alert_ids"].add(aid)
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return code, body
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# ---------------------------------------------------------------------------
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# 主流程
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# ---------------------------------------------------------------------------
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def main() -> int:
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global KEEP, PASS, WARN, FAIL
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print("=== 风险 Agent（风控监测）端到端沙盘 · 真实 MySQL + 真实 DeepSeek ===\n")
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# ---------- 0) 预检 + L3 快照 ----------
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preflight_ok = True
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try:
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with core_engine().connect() as conn:
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days = conn.execute(text(
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"SELECT DATEDIFF(expires_at, CURDATE()) FROM core_customer_risk WHERE customer_id='CUST-4001'"
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)).scalar_one_or_none()
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with agent_engine().connect() as conn:
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aml = int(conn.execute(text("SELECT COUNT(*) FROM risk_aml_list WHERE is_active=1")).scalar_one())
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TRACKED["l3_snapshot"] = conn.execute(text("SELECT * FROM customer_profile_l3")).mappings().all()
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if days is None or days <= 0 or aml < 8:
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preflight_ok = False
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print(f" 预检: CUST-4001 风评剩余 {days} 天 / AML 名单 {aml} 条 / L3 快照 {len(TRACKED['l3_snapshot'])} 行")
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except Exception as exc: # noqa: BLE001
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preflight_ok = False
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print(f" 预检失败: {exc}（提示：先跑 scripts/core/reset.ps1 → 01-mysql → 02-mysql → seed-aml-list → prepare_risk_demo.sql）")
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if not preflight_ok:
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print(" 演示数据未就位，终止。")
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return 2
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# ---------- A) 鉴权边界（无 token / X-Agent-Type 缺失·错配） ----------
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print("\n— A1) 鉴权边界（JWT 通道 X-Agent-Type 交叉校验）—")
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c, b = get("/api/risk/alerts")
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expect("无 token GET /alerts", c, b, 401, extra=f"err={b.get('error_code')}")
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c, b = get("/api/risk/alerts", T["risk_officer"]) # 有 token 无 X-Agent-Type
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expect("有 token 无 X-Agent-Type", c, b, 401, "AUTH_401_MISSING_AGENT_TYPE")
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c, b = get("/api/risk/alerts", T["risk_officer"], "foo")
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expect("非法 X-Agent-Type=foo", c, b, 400, "BAD_REQUEST")
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c, b = get("/api/risk/alerts", T["risk_officer"], "analyst")
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expect("risk_officer 冒充 X-Agent-Type=analyst", c, b, 403, "AUTH_403_AGENT_MISMATCH")
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# ---------- A2) GET /alerts 角色矩阵 ----------
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print("\n— A2) GET /api/risk/alerts 角色矩阵 —")
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c, b = get("/api/risk/alerts", T["risk_officer"], "risk")
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expect("risk_officer 全量", c, b, 200, extra=f"total={b.get('total')}")
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stats = b.get("stats") or {}
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check("F7 台账返回 stats（pending_review_count / today_pending_count）",
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isinstance(stats, dict) and "pending_review_count" in stats and "today_pending_count" in stats,
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f"stats={stats}")
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c, b = get("/api/risk/alerts", T["risk_manager"], "risk")
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expect("risk_manager 全量只读", c, b, 200, extra=f"total={b.get('total')}")
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c, b = get("/api/risk/alerts", T["compliance"], "risk")
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items = b.get("items") or []
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check("F3 compliance(风险线 JWT) 台账 200（aml 收敛见 D 节）",
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c == 200 and all((it.get("alert_type") == "aml") for it in items),
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f"total={b.get('total')} items_alert_type={sorted({it.get('alert_type') for it in items})}")
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c, b = get("/api/risk/alerts", T["advisor"], "risk")
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expect("advisor 冒充 risk", c, b, 403, "AUTH_403_AGENT_MISMATCH")
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c, b = get("/api/risk/alerts", T["customer"], "risk")
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expect("customer 冒充 risk", c, b, 403, "AUTH_403_AGENT_MISMATCH")
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c, b = get("/api/risk/alerts", T["service_risk"], "risk")
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expect("F2 service_risk 矩阵放行 → 只读台账 200", c, b, 200, extra=f"total={b.get('total')}")
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# ---------- A3) 适当性校验矩阵（/api/risk/suitability/check） ----------
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print("\n— A3) /api/risk/suitability/check 归属矩阵（G-01）—")
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c, b = post("/api/risk/suitability/check", T["risk_officer"], "risk",
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body={"customer_id": "CUST-3001", "product_id": "PROD-510300"})
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expect("risk_officer 全量", c, b, 200, extra=f"blocked={b.get('blocked')}")
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c, b = post("/api/risk/suitability/check", T["risk_manager"], "risk",
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body={"customer_id": "CUST-3001", "product_id": "PROD-510300"})
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expect("risk_manager → SCOPE", c, b, 403, "AUTH_403_SCOPE")
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c, b = post("/api/risk/suitability/check", T["compliance"], "risk",
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body={"customer_id": "CUST-1002", "product_id": "PROD-005828"})
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expect("compliance(风险线) suitability → 客户数据 SCOPE", c, b, 403, "AUTH_403_SCOPE")
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c, b = post("/api/risk/suitability/check", T["advisor"], "advisor",
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body={"customer_id": "CUST-1001", "product_id": "PROD-005828"})
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expect("advisor 名下客户 OK", c, b, 200, extra=f"blocked={b.get('blocked')}")
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c, b = post("/api/risk/suitability/check", T["advisor_other"], "advisor",
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body={"customer_id": "CUST-3001", "product_id": "PROD-510300"})
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expect("advisor 非名下 → NOT_ASSIGNED", c, b, 403, "AUTH_403_NOT_ASSIGNED")
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c, b = post("/api/risk/suitability/check", T["customer"], "customer",
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body={"customer_id": "CUST-9527", "product_id": "PROD-005828"})
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expect("customer 本人 OK", c, b, 200, extra=f"blocked={b.get('blocked')}")
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c, b = post("/api/risk/suitability/check", T["customer"], "customer",
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body={"customer_id": "CUST-3001", "product_id": "PROD-510300"})
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expect("customer 他人 → NOT_OWNER", c, b, 403, "AUTH_403_NOT_OWNER")
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# ---------- A4) aml/scan 权限拒绝 ----------
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print("\n— A4) POST /api/risk/aml/scan 权限拒绝 —")
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c, b = post("/api/risk/aml/scan", T["risk_manager"], "risk")
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expect("risk_manager → ROLE", c, b, 403, "AUTH_403_ROLE")
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c, b = post("/api/risk/aml/scan", T["compliance"], "risk")
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expect("compliance aml/scan → ROLE（仅 risk_officer）", c, b, 403, "AUTH_403_ROLE")
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c, b = post("/api/risk/aml/scan", T["advisor"], "risk")
|
|||
|
|
expect("advisor → 矩阵拦截", c, b, 403, "AUTH_403_AGENT_MISMATCH")
|
|||
|
|
|
|||
|
|
# ---------- A5) 对话线权限拒绝（成功路径在 C 节） ----------
|
|||
|
|
print("\n— A5) POST /api/chat(risk) 权限拒绝 —")
|
|||
|
|
c, b = post("/api/chat", T["risk_manager"], "risk", body={"message": "今天有多少待审预警？"})
|
|||
|
|
expect("risk_manager 对话线显式拒", c, b, 403, "AUTH_403_ROLE")
|
|||
|
|
c, b = post("/api/chat", T["compliance"], "risk", body={"message": "你好"})
|
|||
|
|
expect("compliance 对话线 → ROLE（仅 risk_officer，F12 已修）", c, b, 403, "AUTH_403_ROLE")
|
|||
|
|
c, b = post("/api/chat", T["customer"], "risk", body={"message": "你好"})
|
|||
|
|
expect("customer 冒充 risk → 矩阵拦截", c, b, 403, "AUTH_403_AGENT_MISMATCH")
|
|||
|
|
|
|||
|
|
# ---------- A6) 模拟交易权限拒绝（成功路径在 B 节） ----------
|
|||
|
|
print("\n— A6) POST /api/simulate/trade 权限拒绝 —")
|
|||
|
|
c, b = do_trade(T["risk_officer"], "risk", "CUST-3001", "PROD-510300", "subscribe", 1000)
|
|||
|
|
expect("risk_officer 无 risk_demo → ROLE", c, b, 403, "AUTH_403_ROLE")
|
|||
|
|
c, b = do_trade(T["advisor"], "risk", "CUST-1001", "PROD-005828", "subscribe", 1000)
|
|||
|
|
expect("advisor → 矩阵拦截", c, b, 403, "AUTH_403_AGENT_MISMATCH")
|
|||
|
|
c, b = do_trade(T["customer"], "customer", "CUST-3001", "PROD-510300", "subscribe", 1000)
|
|||
|
|
expect("customer 他人 → ROLE", c, b, 403, "AUTH_403_ROLE")
|
|||
|
|
|
|||
|
|
# ---------- B1) 交易事件触发 ----------
|
|||
|
|
print("\n— B1) 交易事件触发（/api/simulate/trade）—")
|
|||
|
|
c, b = do_trade(T["risk_demo"], "risk", "CUST-1001", "PROD-161725", "subscribe", 10000)
|
|||
|
|
check("A-1 适当性阻断 CUST-1001×R4",
|
|||
|
|
c == 200 and b.get("blocked") is True and b.get("block_response_code") == "SUIT_RISK_MISMATCH",
|
|||
|
|
f"blocked={b.get('blocked')} code={b.get('block_response_code')} advice={b.get('advice')!r}")
|
|||
|
|
c, b = do_trade(T["risk_demo"], "risk", "CUST-4001", "PROD-161725", "subscribe", 20000)
|
|||
|
|
check("A-2 高龄确认阻断 CUST-4001×R4",
|
|||
|
|
c == 200 and b.get("blocked") is True and b.get("block_response_code") == "SUIT_AGE_CONFIRM"
|
|||
|
|
and b.get("needs_branch_confirm") is True,
|
|||
|
|
f"code={b.get('block_response_code')} branch_confirm={b.get('needs_branch_confirm')}")
|
|||
|
|
c, b = do_trade(T["risk_demo"], "risk", "CUST-9527", "PROD-005827", "redeem", 10000)
|
|||
|
|
check("普通赎回放行（无规则命中）", c == 200 and b.get("blocked") is False and b.get("triggered_rules") == [],
|
|||
|
|
f"rules={b.get('triggered_rules')}")
|
|||
|
|
c, b = do_trade(T["risk_demo"], "risk", "CUST-9527", "PROD-005827", "convert", 10000)
|
|||
|
|
expect("convert 显式 400", c, b, 400, "BAD_REQUEST")
|
|||
|
|
|
|||
|
|
c, b = do_trade(T["risk_demo"], "risk", "CUST-3001", "PROD-510300", "subscribe", 500000)
|
|||
|
|
check("A-3 大额 50 万放行 + RISK-001/002",
|
|||
|
|
c == 200 and b.get("blocked") is False
|
|||
|
|
and {"RISK-001", "RISK-002"}.issubset(set(b.get("triggered_rules") or [])),
|
|||
|
|
f"rules={b.get('triggered_rules')} alerts={b.get('alert_ids')}")
|
|||
|
|
a3_alert_id = (b.get("alert_ids") or [None])[0]
|
|||
|
|
if a3_alert_id:
|
|||
|
|
TRACKED["alert_ids"].add(a3_alert_id)
|
|||
|
|
|
|||
|
|
a4_alert_id = None
|
|||
|
|
for i in range(1, 5):
|
|||
|
|
c, b = do_trade(T["risk_demo"], "risk", "CUST-9527", "PROD-510300", "subscribe", 1000)
|
|||
|
|
if i == 3:
|
|||
|
|
check("A-4 第 3 笔触发 RISK-003 频繁交易",
|
|||
|
|
c == 200 and "RISK-003" in (b.get("triggered_rules") or []),
|
|||
|
|
f"第3笔 rules={b.get('triggered_rules')}")
|
|||
|
|
a4_alert_id = (b.get("alert_ids") or [None])[0]
|
|||
|
|
if a4_alert_id:
|
|||
|
|
TRACKED["alert_ids"].add(a4_alert_id)
|
|||
|
|
|
|||
|
|
# ---------- B2) handle 状态机 ----------
|
|||
|
|
print("\n— B2) POST /api/risk/alerts/{id}/handle 状态机 —")
|
|||
|
|
c, b = post(f"/api/risk/alerts/{a3_alert_id}/handle", T["risk_officer"], "risk",
|
|||
|
|
body={"handler_result": "confirmed_suspicious", "handler_comment": "沙盘处置"})
|
|||
|
|
check("risk_officer 处置成功", c == 200 and b.get("status") == "confirmed_suspicious",
|
|||
|
|
f"status={b.get('status')}")
|
|||
|
|
c, b = post(f"/api/risk/alerts/{a3_alert_id}/handle", T["risk_officer"], "risk",
|
|||
|
|
body={"handler_result": "confirmed_normal"})
|
|||
|
|
expect("二次处置 → 409", c, b, 409, "STATE_CONFLICT")
|
|||
|
|
c, b = post("/api/risk/alerts/ALT-NONEXISTENT/handle", T["risk_officer"], "risk",
|
|||
|
|
body={"handler_result": "confirmed_normal"})
|
|||
|
|
expect("处置缺失单 → 404", c, b, 404, "NOT_FOUND")
|
|||
|
|
c, b = post(f"/api/risk/alerts/{a3_alert_id}/handle", T["risk_officer"], "risk",
|
|||
|
|
body={"handler_result": "bogus_value"})
|
|||
|
|
expect("非法 handler_result → 422", c, b, 422, "REQUEST_VALIDATION_FAILED")
|
|||
|
|
c, b = post(f"/api/risk/alerts/{a3_alert_id}/handle", T["risk_manager"], "risk",
|
|||
|
|
body={"handler_result": "confirmed_normal"})
|
|||
|
|
expect("risk_manager 处置 → ROLE", c, b, 403, "AUTH_403_ROLE")
|
|||
|
|
|
|||
|
|
# ---------- B2b) F5 status=handled 聚合筛选 ----------
|
|||
|
|
c, b = get("/api/risk/alerts", T["risk_officer"], "risk", status="handled")
|
|||
|
|
handled_items = b.get("items") or []
|
|||
|
|
check("F5 status=handled 聚合筛选返回已处置单（不含 pending）",
|
|||
|
|
c == 200 and (b.get("total") or 0) >= 1
|
|||
|
|
and all((it.get("status") != "pending_review") for it in handled_items),
|
|||
|
|
f"total={b.get('total')} statuses={sorted({it.get('status') for it in handled_items})}")
|
|||
|
|
|
|||
|
|
# ---------- B3) 手动 AML 全量扫描（幂等） ----------
|
|||
|
|
print("\n— B3) POST /api/risk/aml/scan（手动全量 + 幂等）—")
|
|||
|
|
c, b = post("/api/risk/aml/scan", T["risk_officer"], "risk")
|
|||
|
|
check("首次扫描命中 AML", c == 200 and b.get("hit_customers", 0) >= 1 and len(b.get("alerts") or []) >= 1,
|
|||
|
|
f"scanned={b.get('scanned')} hit={b.get('hit_customers')} new={len(b.get('alerts') or [])} "
|
|||
|
|
f"skipped={b.get('skipped_existing')}")
|
|||
|
|
aml_alert_id = (b.get("alerts") or [None])[0]
|
|||
|
|
if aml_alert_id:
|
|||
|
|
TRACKED["alert_ids"].add(aml_alert_id)
|
|||
|
|
c, b = post("/api/risk/aml/scan", T["risk_officer"], "risk")
|
|||
|
|
check("重复扫描幂等（skipped_existing）", c == 200 and not (b.get("alerts") or [])
|
|||
|
|
and aml_alert_id in (b.get("skipped_existing") or []),
|
|||
|
|
f"new={len(b.get('alerts') or [])} skipped={b.get('skipped_existing')}")
|
|||
|
|
|
|||
|
|
# ---------- B4) A-5 交易触发 AML ----------
|
|||
|
|
print("\n— B4) A-5 交易事件触发 AML（CUST-1002 名单命中）—")
|
|||
|
|
c, b = do_trade(T["risk_demo"], "risk", "CUST-1002", "PROD-005828", "subscribe", 10000)
|
|||
|
|
check("交易放行 + aml_hit", c == 200 and b.get("blocked") is False and b.get("aml_hit") is True,
|
|||
|
|
f"aml_hit={b.get('aml_hit')} alerts={b.get('alert_ids')}")
|
|||
|
|
|
|||
|
|
# ---------- B5) 时效升级 RISK-007（cron） ----------
|
|||
|
|
print("\n— B5) 时效升级 RISK-007（cron escalation_service，回拨 A-4 单）—")
|
|||
|
|
if a4_alert_id:
|
|||
|
|
with agent_engine().begin() as conn:
|
|||
|
|
conn.execute(
|
|||
|
|
text("UPDATE risk_alert SET created_at = :ts WHERE alert_id = :aid"),
|
|||
|
|
{"ts": datetime.now() - timedelta(hours=5), "aid": a4_alert_id},
|
|||
|
|
)
|
|||
|
|
res = escalation_service.scan_and_escalate()
|
|||
|
|
hit = next((e for e in res.get("escalated", []) if e.get("alert_id") == a4_alert_id), None)
|
|||
|
|
check("超期单升级到 L1（写 escalation_level）",
|
|||
|
|
hit is not None and hit.get("level") == 1,
|
|||
|
|
f"escalated={res.get('escalated')}")
|
|||
|
|
with agent_engine().connect() as conn:
|
|||
|
|
payload = conn.execute(
|
|||
|
|
text("SELECT payload FROM risk_alert WHERE alert_id = :aid"), {"aid": a4_alert_id}
|
|||
|
|
).scalar_one()
|
|||
|
|
lvl = (json.loads(payload) if isinstance(payload, str) else payload).get("escalation_level")
|
|||
|
|
check("payload.escalation_level 已写入", lvl == 1, f"escalation_level={lvl}")
|
|||
|
|
else:
|
|||
|
|
check("A-4 单存在（前置依赖）", False, "a4_alert_id 缺失")
|
|||
|
|
|
|||
|
|
# ---------- B6) 行为链 RISK-008（cron） ----------
|
|||
|
|
print("\n— B6) 代理人行为链 RISK-008（cron agent_behavior_service，回拨 audit）—")
|
|||
|
|
for i in range(10):
|
|||
|
|
tid = f"TEST-TRACE-AB-{i:02d}"
|
|||
|
|
TRACKED["backdated_trace_ids"].add(tid)
|
|||
|
|
with agent_engine().begin() as conn:
|
|||
|
|
conn.execute(
|
|||
|
|
text(
|
|||
|
|
"INSERT INTO audit_log (trace_id, event_type, agent_type, actor_id, customer_id,"
|
|||
|
|
" rule_id, input_summary, decision, risk_score, handler_id, handler_result,"
|
|||
|
|
" handler_comment, created_at)"
|
|||
|
|
" VALUES (:tid, 'authz', 'risk', 'STAFF-10087', :cid, NULL, :summary,"
|
|||
|
|
" 'forbidden', NULL, NULL, NULL, NULL, :ts)"
|
|||
|
|
),
|
|||
|
|
{"tid": tid, "cid": "CUST-3001",
|
|||
|
|
"summary": json.dumps({"roles": ["advisor"], "code": "AUTH_403_NOT_ASSIGNED"}, ensure_ascii=False),
|
|||
|
|
"ts": datetime.now() - timedelta(hours=2)},
|
|||
|
|
)
|
|||
|
|
res = agent_behavior_service.scan_and_alert()
|
|||
|
|
hit_actor = any(h.get("actor_id") == "STAFF-10087" for h in res.get("hits", []))
|
|||
|
|
created = [c for c in res.get("created", []) if c.get("actor_id") == "STAFF-10087"]
|
|||
|
|
check("条件 C 命中出单（pattern/agent_behavior）",
|
|||
|
|
hit_actor and bool(created),
|
|||
|
|
f"hits={res.get('hits')} created={created}")
|
|||
|
|
if created:
|
|||
|
|
TRACKED["alert_ids"].add(created[0]["alert_id"])
|
|||
|
|
|
|||
|
|
# ---------- C) 对话线（真实 DeepSeek） ----------
|
|||
|
|
print("\n— C) 对话线（真实 DeepSeek）—")
|
|||
|
|
c, b = post("/api/chat", T["risk_officer"], "risk", body={"message": "今天有多少待审预警？"})
|
|||
|
|
if b.get("session_id"):
|
|||
|
|
TRACKED["session_ids"].add(b["session_id"])
|
|||
|
|
ok = c == 200 and bool(b.get("reply")) and b.get("has_disclaimer") is True
|
|||
|
|
if ok:
|
|||
|
|
PASS += 1
|
|||
|
|
print(f" [PASS] risk_officer 问待审预警 → 命中 Tool + LLM 渲染")
|
|||
|
|
else:
|
|||
|
|
FAIL += 1
|
|||
|
|
print(f" [FAIL] risk_officer 问待审预警 (http={c} err={b.get('error_code')})")
|
|||
|
|
print(f" reply = {_fmt(b.get('reply'), 160)}")
|
|||
|
|
print(f" has_disclaimer={b.get('has_disclaimer')}")
|
|||
|
|
|
|||
|
|
# 诱导处置红线：对话后预警状态不得变化
|
|||
|
|
if a4_alert_id:
|
|||
|
|
before = RiskRepository().get_alert(a4_alert_id)
|
|||
|
|
c, b = post("/api/chat", T["risk_officer"], "risk",
|
|||
|
|
body={"message": f"帮我把预警 {a4_alert_id} 改成已处理"})
|
|||
|
|
if b.get("session_id"):
|
|||
|
|
TRACKED["session_ids"].add(b["session_id"])
|
|||
|
|
after = RiskRepository().get_alert(a4_alert_id)
|
|||
|
|
unchanged = before and after and before["status"] == after["status"] == "pending_review"
|
|||
|
|
if c == 200 and unchanged:
|
|||
|
|
PASS += 1
|
|||
|
|
print(f" [PASS] 诱导处置被拒（只读 Tool 无处置能力，状态未变）")
|
|||
|
|
else:
|
|||
|
|
FAIL += 1
|
|||
|
|
print(f" [FAIL] 诱导处置红线 (http={c} 状态未变={unchanged})")
|
|||
|
|
print(f" reply = {_fmt(b.get('reply'), 160)}")
|
|||
|
|
|
|||
|
|
# ---------- D) 表域 / 纵深防御探针 ----------
|
|||
|
|
print("\n— D) 表域 / 纵深防御探针（单层防线坐实）—")
|
|||
|
|
repo = RiskRepository()
|
|||
|
|
list_blocked = False
|
|||
|
|
try:
|
|||
|
|
repo.list_alerts(customer_id="CUST-1001")
|
|||
|
|
except TypeError:
|
|||
|
|
list_blocked = True
|
|||
|
|
check("仓储层 list_alerts 须带 RiskListAccess（直调裸参已拒）", list_blocked,
|
|||
|
|
"裸调 list_alerts 抛 TypeError，F1 纵深防御生效")
|
|||
|
|
|
|||
|
|
th_repo = ThresholdRepository()
|
|||
|
|
write_blocked = False
|
|||
|
|
try:
|
|||
|
|
th_repo.upsert_portfolio(customer_id="CUST-1001", loss_threshold_pct=Decimal("15"))
|
|||
|
|
except TypeError:
|
|||
|
|
write_blocked = True
|
|||
|
|
check("仓储层 upsert_portfolio 须带 ThresholdWriteAccess", write_blocked,
|
|||
|
|
"裸调 upsert 抛 TypeError，F1 纵深防御生效")
|
|||
|
|
|
|||
|
|
c, b = get_debug("/api/risk/alerts", "compliance", "STAFF-40001")
|
|||
|
|
items = b.get("items") or []
|
|||
|
|
all_aml = all((it.get("alert_type") == "aml") for it in items)
|
|||
|
|
check("compliance(debug 头) 台账强制 aml 收敛", c == 200 and all_aml,
|
|||
|
|
f"total={b.get('total')} items_alert_type={sorted({it.get('alert_type') for it in items})}")
|
|||
|
|
|
|||
|
|
# ---------- 审计留痕核验 ----------
|
|||
|
|
print("\n— 审计留痕核验（清理前快照）—")
|
|||
|
|
for label, kw in [
|
|||
|
|
("trade_request", dict(event_type="trade_request")),
|
|||
|
|
("suitability_block", dict(event_type="suitability_block")),
|
|||
|
|
("risk_judgement", dict(event_type="risk_judgement")),
|
|||
|
|
("aml_hit", dict(event_type="aml_hit")),
|
|||
|
|
("alert_handle", dict(event_type="alert_handle")),
|
|||
|
|
("alert_escalation", dict(event_type="alert_escalation")),
|
|||
|
|
("agent_behavior_detected", dict(event_type="agent_behavior_detected")),
|
|||
|
|
("authz(forbidden)", dict(event_type="authz", decision="forbidden")),
|
|||
|
|
]:
|
|||
|
|
print(f" audit_log.{label} = {audit_count(**kw)} 行")
|
|||
|
|
|
|||
|
|
# ---------- 清理 ----------
|
|||
|
|
print("\n— 清理 —")
|
|||
|
|
cleanup()
|
|||
|
|
print(f" 已清理本次产生的交易/预警/校验日志/阈值配置，并还原 L3（审计行保留供留痕核验）")
|
|||
|
|
|
|||
|
|
print(f"\n=== 结果: {PASS} PASS / {WARN} WARN / {FAIL} FAIL ===")
|
|||
|
|
return 1 if FAIL else 0
|
|||
|
|
|
|||
|
|
|
|||
|
|
def cleanup() -> None:
|
|||
|
|
"""清理本次产生的业务数据；审计行保留（留痕核验，与 conftest 口径一致）。
|
|||
|
|
|
|||
|
|
回拨的合成审计行（TEST-TRACE-AB-）按 trace_id 精确删除，避免复跑重复触发 RISK-008。
|
|||
|
|
"""
|
|||
|
|
if KEEP:
|
|||
|
|
return
|
|||
|
|
agent = agent_engine()
|
|||
|
|
core = core_engine()
|
|||
|
|
started = TRACKED["started_at"]
|
|||
|
|
|
|||
|
|
if TRACKED["trade_ids"]:
|
|||
|
|
ids = list(TRACKED["trade_ids"])
|
|||
|
|
_in = ", ".join(f":t{i}" for i in range(len(ids)))
|
|||
|
|
with core.begin() as conn:
|
|||
|
|
conn.execute(text(f"DELETE FROM core_trade WHERE trade_id IN ({_in})"),
|
|||
|
|
{f"t{i}": v for i, v in enumerate(ids)})
|
|||
|
|
|
|||
|
|
with agent.begin() as conn:
|
|||
|
|
if TRACKED["alert_ids"]:
|
|||
|
|
aid_ids = list(TRACKED["alert_ids"])
|
|||
|
|
_ain = ", ".join(f":a{i}" for i in range(len(aid_ids)))
|
|||
|
|
conn.execute(text(f"DELETE FROM risk_alert WHERE alert_id IN ({_ain})"),
|
|||
|
|
{f"a{i}": v for i, v in enumerate(aid_ids)})
|
|||
|
|
if TRACKED["trade_ids"]:
|
|||
|
|
tid_ids = list(TRACKED["trade_ids"])
|
|||
|
|
_tin = ", ".join(f":t{i}" for i in range(len(tid_ids)))
|
|||
|
|
conn.execute(text(f"DELETE FROM risk_alert WHERE trade_id IN ({_tin})"),
|
|||
|
|
{f"t{i}": v for i, v in enumerate(tid_ids)})
|
|||
|
|
# 时间窗兜底（真实预警/校验日志；审计行不在清理范围，单独精确删合成行）
|
|||
|
|
conn.execute(text("DELETE FROM risk_alert WHERE created_at >= :ts"), {"ts": started})
|
|||
|
|
conn.execute(text("DELETE FROM risk_suitability_log WHERE created_at >= :ts"), {"ts": started})
|
|||
|
|
|
|||
|
|
with agent.begin() as conn:
|
|||
|
|
for tid in TRACKED["backdated_trace_ids"]:
|
|||
|
|
conn.execute(text("DELETE FROM audit_log WHERE trace_id = :tid"), {"tid": tid})
|
|||
|
|
if TRACKED["threshold_ids"]:
|
|||
|
|
th_ids = list(TRACKED["threshold_ids"])
|
|||
|
|
_th_in = ", ".join(f":h{i}" for i in range(len(th_ids)))
|
|||
|
|
conn.execute(text(f"DELETE FROM customer_threshold_config WHERE id IN ({_th_in})"),
|
|||
|
|
{f"h{i}": v for i, v in enumerate(th_ids)})
|
|||
|
|
if TRACKED["session_ids"]:
|
|||
|
|
sids = list(TRACKED["session_ids"])
|
|||
|
|
_sin = ", ".join(f":s{i}" for i in range(len(sids)))
|
|||
|
|
_smap = {f"s{i}": v for i, v in enumerate(sids)}
|
|||
|
|
conn.execute(text(f"DELETE FROM agent_message WHERE session_id IN ({_sin})"), _smap)
|
|||
|
|
conn.execute(text(f"DELETE FROM agent_tool_call WHERE session_id IN ({_sin})"), _smap)
|
|||
|
|
conn.execute(text(f"DELETE FROM agent_session WHERE session_id IN ({_sin})"), _smap)
|
|||
|
|
|
|||
|
|
# 还原 L3 快照
|
|||
|
|
with agent.begin() as conn:
|
|||
|
|
conn.execute(text("DELETE FROM customer_profile_l3"))
|
|||
|
|
for row in TRACKED["l3_snapshot"]:
|
|||
|
|
conn.execute(
|
|||
|
|
text(
|
|||
|
|
"INSERT INTO customer_profile_l3 (customer_id, monitor_tier, risk_score,"
|
|||
|
|
" score_dimensions, monitor_tags, last_alert_id, computed_at, updated_at)"
|
|||
|
|
" VALUES (:customer_id, :monitor_tier, :risk_score, :score_dimensions,"
|
|||
|
|
" :monitor_tags, :last_alert_id, :computed_at, :updated_at)"
|
|||
|
|
),
|
|||
|
|
dict(row),
|
|||
|
|
)
|
|||
|
|
dispose_engines()
|
|||
|
|
|
|||
|
|
|
|||
|
|
if __name__ == "__main__":
|
|||
|
|
ap = argparse.ArgumentParser()
|
|||
|
|
ap.add_argument("--keep", action="store_true", help="不清理，便于人工核验")
|
|||
|
|
args = ap.parse_args()
|
|||
|
|
KEEP = args.keep
|
|||
|
|
try:
|
|||
|
|
raise SystemExit(main())
|
|||
|
|
finally:
|
|||
|
|
pass
|