456 lines
20 KiB
Python
456 lines
20 KiB
Python
"""`convert_service` 补偿单点单测（T-12/T-13 · 开发计划 §6.2 DoD）。
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sqlite 内存库（`conftest.sqlite_engine`，含 C×R 矩阵种子），数据自建。
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**T-13 退役说明**：本文件原承载 v1.0 两阶段实时入口 `convert_fund` 的八步编排
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用例（三阶段贯通 / 占位幂等 / nav_stale 副审计 / 阶段一失败重试等）。`convert_fund`
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随 T+1 模型退役删除后，其验证点的 **T+1 替代断言**已由以下用例承接：
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- 受理段（blocked 不占位 / 同键幂等 / 最低份额 / 强制全转 / 产品校验 / 在途占用 /
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uk_idem 竞态）→ `tests/test_convert_accept.py`；
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- 确认段（happy path 与 PRD §5.3 对表 / 缺净值 nav_pending / 引擎恰好一次 /
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引擎异常不阻断但留痕 / 真引擎出单去重 / 强制全转继承）→ `tests/test_convert_confirm.py`。
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本文件保留 **补偿单点 `compensate_convert`** 的全部用例，并补 2 条 T+1 缺口：
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确认第 ⑧ 步镜像失败不回滚 Core（v1.0「阶段二失败」语义的承接）、
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确认段批次数超限 rejected（v1.0 `TooManyLots` 503 语义的 T+1 承接）。
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"""
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from __future__ import annotations
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import json
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from datetime import date, datetime, timedelta
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from decimal import Decimal
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import pytest
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from sqlalchemy import text
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from unittest.mock import patch
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from app.config.settings import settings
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from app.gateway.convert_core_repository import ConvertCoreRepository
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from app.repository.convert_repository import ConvertRepository
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from app.repository.convert_request_repository import ConvertRequestRepository
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from app.repository.core_ro import CoreReadOnlyRepository
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from app.repository.risk_repository import RiskRepository
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from app.service.convert.confirm_service import confirm_one
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from app.service.convert.convert_service import compensate_convert
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from app.service.risk.locks import try_lock
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from app.service.risk.rules import RiskThresholds
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CUST = "CUST-T7" # C3 客户 → R4 产品 allowed_with_disclosure（放行）
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PROD_OUT = "PROD-T7A"
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PROD_IN = "PROD-T7B"
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COMPANY = "华夏模拟基金"
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TA = "TA-CN-001"
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NOW = datetime(2026, 9, 4, 10, 0, 0)
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TODAY = date(2026, 9, 4)
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OUT_RATE = Decimal("0.0030")
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IN_RATE = Decimal("0.0080")
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IN_NAV = Decimal("0.9500")
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FEE_TIERS = [
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(0, 7, "0.0150"), (7, 30, "0.0100"), (30, 180, "0.0050"),
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(180, 365, "0.0025"), (365, None, "0.0000"),
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]
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def _exec(engine, sql: str, **params) -> None:
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with engine.begin() as conn:
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conn.execute(text(sql), params)
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def _rows(engine, sql: str, **params) -> list[dict]:
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with engine.connect() as conn:
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return [dict(r) for r in conn.execute(text(sql), params).mappings()]
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def _seed(engine, *, nav_date: date = TODAY, min_redeem: str = "0", min_hold: str = "0") -> None:
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_exec(
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engine,
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"INSERT INTO core_customer (customer_id, display_name, age, is_active) "
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"VALUES (:c, 'T7客户', 40, 1)",
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c=CUST,
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)
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_exec(
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engine,
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"INSERT INTO core_customer_risk (customer_id, risk_code, evaluated_at, expires_at) "
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"VALUES (:c, 'C3', :t, :exp)",
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c=CUST, t=NOW - timedelta(days=30), exp=NOW + timedelta(days=300),
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)
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_exec(
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engine,
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"INSERT INTO core_product (product_id, product_name, min_risk_code, product_type, "
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"can_subscribe, can_redeem, subscribe_fee_rate, min_redeem_qty, min_hold_qty, "
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"fund_company, ta_code) VALUES (:p, '转出债基', 'R2', 'bond', 1, 1, :r, :mr, :mh, :co, :ta)",
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p=PROD_OUT, r=float(OUT_RATE), mr=float(min_redeem), mh=float(min_hold),
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co=COMPANY, ta=TA,
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)
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_exec(
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engine,
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"INSERT INTO core_product (product_id, product_name, min_risk_code, product_type, "
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"can_subscribe, can_redeem, subscribe_fee_rate, fund_company, ta_code) "
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"VALUES (:p, '转入股基', 'R4', 'stock', 1, 1, :r, :co, :ta)",
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p=PROD_IN, r=float(IN_RATE), co=COMPANY, ta=TA,
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)
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for mh, mh_max, rate in FEE_TIERS:
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_exec(
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engine,
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"INSERT INTO core_fee_rule (product_id, fee_type, min_hold_days, max_hold_days, rate) "
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"VALUES (:p, 'redeem', :mh, :mh_max, :rate)",
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p=PROD_OUT, mh=mh, mh_max=mh_max, rate=float(rate),
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)
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_exec(
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engine,
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"INSERT INTO core_product_nav (product_id, nav, daily_chg_pct, nav_date) "
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"VALUES (:p, :nav, 0, :d)",
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p=PROD_IN, nav=float(IN_NAV), d=nav_date,
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)
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_seed_lot(engine, "LOT-T7-1", "100", "1.0300", datetime(2026, 8, 1, 10, 0, 0))
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_seed_lot(engine, "LOT-T7-2", "50", "1.0000", datetime(2026, 9, 1, 10, 0, 0))
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_exec(
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engine,
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"INSERT INTO core_holding (customer_id, product_id, qty, cost_amount, market_value, "
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"pnl_pct, as_of) VALUES (:c, :p, 150, 150, 154.5, 0, :d)",
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c=CUST, p=PROD_OUT, d=TODAY,
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)
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def _seed_lot(engine, lot_id: str, qty: str, nav: str, confirmed_at: datetime,
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customer: str = CUST) -> None:
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_exec(
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engine,
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"INSERT INTO core_share_lot (lot_id, customer_id, product_id, qty, remain_qty, nav, "
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"confirmed_at) VALUES (:l, :c, :p, :q, :q, :nav, :cat)",
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l=lot_id, c=customer, p=PROD_OUT, q=float(qty), nav=float(nav), cat=confirmed_at,
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)
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def _services(engine):
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return dict(
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core_ro=CoreReadOnlyRepository(engine=engine),
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risk_repo=RiskRepository(engine=engine),
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convert_repo=ConvertRepository(engine=engine),
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# 确认事务的 core 写侧也必须钉在同一 sqlite 引擎（缺省构造会连真 MySQL，
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# CUST-T7 在真库无 customer 行 → FK 1452）
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core_writer=ConvertCoreRepository(engine=engine),
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request_repo=ConvertRequestRepository(engine=engine),
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)
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# ── 11. T-12 补偿：确认段第 ⑦/⑧ 步失败 → 按 group 补写详情 + 预警 ─────────
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def _low_thresholds() -> RiskThresholds:
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"""调低大额阈值，让 120 份的折算额足以命中 RISK-001（与 §10 接线用例同口径）。"""
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return RiskThresholds(
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large_amount=Decimal("100"),
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daily_total=Decimal("1000000"),
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freq_count=3,
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probe_window_minutes=5,
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probe_count=3,
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probe_amount=Decimal("400000"),
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small_amount=Decimal("10000"),
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small_count=3,
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concentration_threshold=1.01,
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)
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def _prepare_failed_confirm_t1(sqlite_engine, cid_req: str) -> str:
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"""构造 **T+1 模型的真实待补偿现场**：确认事务已提交、agent 侧两件事全失败。
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T+1 下确认段第 ⑥ 步（Core 事务：受理单 confirmed + 两条流水 + 计费明细）与
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第 ⑦/⑧ 步（引擎 / 镜像 + 审计，附加写入）分离；补偿场景 = 后者失败：
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- Core 侧：直接插「确认后净数据」（受理单 confirmed + 2 流水 + 2 明细，同事务
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三件套缺一不可 —— 补偿前置逐项校验）；
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- 镜像：`risk_convert_detail` 停在 `failed`（sync_mirror 调用点契约 4 的入口态）；
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- 预警：`engine_error` 审计已落（第 ⑦ 步异常的留痕）→ 无预警单，补偿后 warning。
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这正是 PRD §7.1 描述的补偿场景（Core 已成、agent 侧两件事都没落）。
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返回 convert_group_id。
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"""
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_seed(sqlite_engine)
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gid = "CNV-T12C-0001"
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traded_at = NOW
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_exec(
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sqlite_engine,
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"INSERT INTO core_convert_request (convert_group_id, client_request_id,"
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" customer_id, from_product_id, to_product_id, qty, actual_qty, status,"
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" cancel_before, requested_at, confirmed_at, coupon, remark)"
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" VALUES (:gid, :cid_req, :c, :fp, :tp, 30000.0, 30000.0, 'confirmed',"
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" NULL, :rat, :cat, 121.82, NULL)",
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gid=gid, cid_req=cid_req, c=CUST, fp=PROD_OUT, tp=PROD_IN,
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rat=traded_at, cat=traded_at,
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)
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_exec(
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sqlite_engine,
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"INSERT INTO core_trade (trade_id, customer_id, product_id, trade_type, amount,"
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" qty, trade_status, traded_at, convert_group_id) VALUES"
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" ('TRD-T12C-OUT', :c, :fp, 'redeem', 40607.94, 30000.0, 'confirmed', :t, :gid),"
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" ('TRD-T12C-IN', :c, :tp, 'subscribe', 40486.12, 21093.15, 'confirmed', :t, :gid)",
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c=CUST, fp=PROD_OUT, tp=PROD_IN, t=traded_at, gid=gid,
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)
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_exec(
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sqlite_engine,
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"INSERT INTO core_convert_lot_detail (convert_group_id, lot_id, qty, hold_days,"
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" amount, fee_rate, fee_amount, nav, nav_date) VALUES"
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" (:gid, 'LOT-T12C-1', 20000.0, 65, 27208.00, 0.0050, 136.04, 1.3604, :nd),"
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" (:gid, 'LOT-T12C-2', 10000.0, 3, 13604.00, 0.0150, 204.06, 1.3604, :nd)",
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gid=gid, nd=TODAY,
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)
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_exec(
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sqlite_engine,
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"INSERT INTO risk_convert_detail (convert_group_id, status, estimated, created_at)"
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" VALUES (:gid, 'failed', 0, :t)",
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gid=gid, t=traded_at,
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)
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# 第 ⑦ 步引擎异常的留痕（与确认段 engine_error 审计同码；也是补偿 warning 的来源）
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RiskRepository(engine=sqlite_engine).insert_audit_log(
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{
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"trace_id": "T12C-VERIFY-TRACE",
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"event_type": "convert_request",
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"agent_type": "platform",
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"actor_id": "SYSTEM",
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"customer_id": CUST,
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"rule_id": None,
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"input_summary": {"convert_group_id": gid, "phase": "confirm"},
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"decision": "engine_error",
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"risk_score": None,
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"handler_id": None,
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"handler_result": None,
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"handler_comment": None,
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}
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)
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return gid
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def _compensate(sqlite_engine, gid: str) -> dict:
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svc = _services(sqlite_engine)
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return compensate_convert(
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gid,
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core_ro=svc["core_ro"],
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risk_repo=svc["risk_repo"],
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convert_repo=svc["convert_repo"],
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thresholds=_low_thresholds(),
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now=NOW,
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)
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def _detail_rows(engine, gid: str) -> list[dict]:
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return _rows(
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engine, "SELECT * FROM risk_convert_detail WHERE convert_group_id = :g", g=gid
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)
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def test_compensate_rebuilds_detail_and_alerts(sqlite_engine):
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"""补偿把「详情 + 预警」两件事都补齐，且详情直接置 completed（验收 17 · T+1）。
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详情侧走 `sync_mirror`（与确认段第 ⑧ 步**同一镜像入口**），审计码为确认段同款
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**`confirmed`**（不再是 v1.0 的 `convert_accepted`）。
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"""
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gid = _prepare_failed_confirm_t1(sqlite_engine, "CLI-T12-001")
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# 前置态自检：确认净数据齐、镜像 failed、无预警单、engine_error 已留痕
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assert len(_rows(sqlite_engine, "SELECT * FROM core_trade")) == 2
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assert _rows(sqlite_engine, "SELECT status FROM core_convert_request")[0]["status"] == "confirmed"
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assert _detail_rows(sqlite_engine, gid)[0]["status"] == "failed"
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assert _rows(sqlite_engine, "SELECT * FROM risk_alert") == []
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out = _compensate(sqlite_engine, gid)
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assert out["state"] == "rebuilt"
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assert out["detail"] == "rebuilt" and out["engine"] == "rebuilt"
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assert "RISK-001" in out["triggered_rules"]
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assert len(out["alert_ids"]) == 1
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row = _detail_rows(sqlite_engine, gid)[0]
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assert row["status"] == "completed"
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# 补偿回填的指针与 Core 侧一致（幂等锚点 = 转出端）
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assert row["out_trade_id"] == out["out_trade_id"] == "TRD-T12C-OUT"
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assert row["in_trade_id"] == out["in_trade_id"] == "TRD-T12C-IN"
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assert row["nav"] is not None and row["nav_date"] is not None
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assert len(_rows(sqlite_engine, "SELECT * FROM risk_alert")) == 1
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# 补偿也补了主审计 —— 与确认段第 ⑧ 步**同一决策码**（T+1 口径）
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audits = _rows(
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sqlite_engine, "SELECT decision FROM audit_log WHERE decision = 'confirmed'"
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)
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assert len(audits) == 1
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# 补偿审计可追溯：phase 标注补偿来源 + 引擎异常事实入 summary
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summary = json.loads(
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_rows(
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sqlite_engine,
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"SELECT input_summary FROM audit_log WHERE decision = 'confirmed'",
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)[0]["input_summary"]
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)
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assert summary["phase"] == "confirm-compensate"
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assert summary["engine_error"] is True
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assert summary["out_trade_id"] == "TRD-T12C-OUT"
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def test_compensate_is_idempotent(sqlite_engine):
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"""重复补偿 → `skipped`，不产生第二张预警单、不重复写详情与主审计。"""
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gid = _prepare_failed_confirm_t1(sqlite_engine, "CLI-T12-002")
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first = _compensate(sqlite_engine, gid)
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second = _compensate(sqlite_engine, gid)
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assert first["state"] == "rebuilt"
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assert second["state"] == "skipped"
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assert second["detail"] == "already_completed"
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assert second["engine"] == "skipped"
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assert second["alert_ids"] == first["alert_ids"]
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assert second["triggered_rules"] == []
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assert len(_rows(sqlite_engine, "SELECT * FROM risk_alert")) == 1 # 只有一张单
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assert len(
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_rows(sqlite_engine, "SELECT * FROM audit_log WHERE decision = 'confirmed'")
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) == 1 # 主审计不重复
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# 曾引擎中断过 → 幂等跳过时附「人工核对」提示（与 rebuild_alerts 同款警示）
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assert "人工核对" in second["warning"]
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def test_compensate_missing_group_touches_nothing(sqlite_engine):
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"""Core 侧不足两条流水 → missing，零写入（不是有效转换组）。"""
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_seed(sqlite_engine)
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out = _compensate(sqlite_engine, "CNV-T12-NOPE")
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assert out["state"] == "missing"
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assert out["trade_count"] == 0
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assert _rows(sqlite_engine, "SELECT * FROM risk_alert") == []
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assert _rows(sqlite_engine, "SELECT * FROM audit_log") == []
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assert _rows(sqlite_engine, "SELECT * FROM risk_convert_detail") == []
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def test_compensate_missing_when_request_not_confirmed(sqlite_engine):
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"""流水在但受理单非 confirmed（数据不完整）→ missing，零写入不硬补。
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两条流水与受理单 confirmed 是**同一确认事务**（T-7）；缺任意一件即不是
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可补偿现场 —— 补偿只认「Core 已成、agent 侧缺失」。
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"""
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gid = _prepare_failed_confirm_t1(sqlite_engine, "CLI-T12-003")
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_exec(
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sqlite_engine,
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"UPDATE core_convert_request SET status = 'accepted' WHERE convert_group_id = :g",
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g=gid,
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)
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out = _compensate(sqlite_engine, gid)
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assert out["state"] == "missing"
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assert out["trade_count"] == 2 # 流水在，但受理单状态不满足 → 仍拒绝
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assert _rows(sqlite_engine, "SELECT * FROM risk_alert") == []
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# 镜像仍停在 failed（零写入）
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assert _detail_rows(sqlite_engine, gid)[0]["status"] == "failed"
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def test_compensate_inserts_mirror_when_row_absent(sqlite_engine):
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"""镜像行完全缺失（第 ⑧ 步首步即炸的现场）→ 补偿凭 Core 数据 INSERT 兜底。"""
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gid = _prepare_failed_confirm_t1(sqlite_engine, "CLI-T12-005")
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_exec(
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sqlite_engine, "DELETE FROM risk_convert_detail WHERE convert_group_id = :g", g=gid
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)
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out = _compensate(sqlite_engine, gid)
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assert out["state"] == "rebuilt" and out["detail"] == "rebuilt"
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row = _detail_rows(sqlite_engine, gid)[0]
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assert row["status"] == "completed"
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assert row["out_trade_id"] == "TRD-T12C-OUT"
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def test_compensate_returns_locked_when_execution_right_taken(sqlite_engine):
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"""未抢到 `convert:rerun:{gid}` → locked（有并发重试/实例在跑），零写入。"""
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gid = _prepare_failed_confirm_t1(sqlite_engine, "CLI-T12-004")
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with try_lock(f"convert:rerun:{gid}", 30) as acquired:
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assert acquired is True
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out = _compensate(sqlite_engine, gid)
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assert out["state"] == "locked" and out["alert_ids"] == []
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assert _detail_rows(sqlite_engine, gid)[0]["status"] == "failed" # 仍待补偿
|
||
|
||
|
||
# ── 12. T+1 缺口补用（v1.0 用例退役后的承接，T-13）─────────────────────
|
||
def _seed_accepted_request(engine, cid_req: str, qty: str = "30000") -> str:
|
||
"""直插一张 accepted 受理单（确认段输入态；日历缺失由 `_safe_next_biz_day` 容错）。
|
||
|
||
两端净值都锚在受理日 T（`get_nav_on` 精确匹配）；转出端净值取批次 nav 同值，
|
||
使逐批折算与明细口径自洽。
|
||
"""
|
||
_exec(
|
||
engine,
|
||
"INSERT INTO core_product_nav (product_id, nav, daily_chg_pct, nav_date) "
|
||
"VALUES (:p, 1.0300, 0, :d)",
|
||
p=PROD_OUT, d=TODAY,
|
||
)
|
||
_exec(
|
||
engine,
|
||
"INSERT INTO core_convert_request (convert_group_id, client_request_id,"
|
||
" customer_id, from_product_id, to_product_id, qty, status,"
|
||
" cancel_before, requested_at)"
|
||
" VALUES (:gid, :cid_req, :c, :fp, :tp, :q, 'accepted', NULL, :rat)",
|
||
gid="CNV-T13-0001", cid_req=cid_req, c=CUST, fp=PROD_OUT, tp=PROD_IN,
|
||
q=float(qty), rat=NOW,
|
||
)
|
||
return "CNV-T13-0001"
|
||
|
||
|
||
def test_confirm_mirror_write_failure_keeps_core_confirmed(sqlite_engine):
|
||
"""确认第 ⑧ 步镜像写入失败 → Core 已 confirmed 不回滚、镜像停 pending（v1.0
|
||
「阶段二失败不回滚」语义的 T+1 承接；失败现场由补偿 T-12 收口，真库证据
|
||
`verify_convert_compensate.py` A 组）。"""
|
||
_seed(sqlite_engine)
|
||
gid = _seed_accepted_request(sqlite_engine, "CLI-T13-MIRROR")
|
||
svc = _services(sqlite_engine)
|
||
|
||
with patch.object(
|
||
ConvertRepository, "sync_mirror", side_effect=RuntimeError("T13 故意：镜像失败")
|
||
):
|
||
out = confirm_one(
|
||
gid,
|
||
core_ro=svc["core_ro"],
|
||
risk_repo=svc["risk_repo"],
|
||
convert_repo=svc["convert_repo"],
|
||
core_writer=svc["core_writer"],
|
||
request_repo=svc["request_repo"],
|
||
thresholds=_low_thresholds(),
|
||
now=NOW,
|
||
as_of=TODAY,
|
||
)
|
||
|
||
assert out["status"] == "confirmed" # Core 事务不受 agent 故障影响
|
||
assert len(_rows(sqlite_engine, "SELECT * FROM core_trade")) == 2
|
||
req_status = _rows(
|
||
sqlite_engine,
|
||
"SELECT status FROM core_convert_request WHERE convert_group_id = :g", g=gid,
|
||
)[0]["status"]
|
||
assert req_status == "confirmed"
|
||
mirror = _detail_rows(sqlite_engine, gid)
|
||
assert mirror == [] or mirror[0]["status"] == "pending" # 第 ⑧ 步未推进（绝不写 completed）
|
||
|
||
|
||
def test_confirm_rejects_too_many_lots(sqlite_engine, monkeypatch):
|
||
"""参与批次数超上限 → `rejected` + `TOO_MANY_LOTS`（占用释放，份额不变；
|
||
v1.0 `TooManyLots` 4xx 语义在确认段的承接）。"""
|
||
_seed(sqlite_engine)
|
||
# 再补 2 个小批次 → 共 4 批；把确认批上限钳到 2
|
||
_seed_lot(sqlite_engine, "LOT-T13-3", "30", "1.0100", datetime(2026, 7, 1, 10, 0, 0))
|
||
_seed_lot(sqlite_engine, "LOT-T13-4", "20", "1.0200", datetime(2026, 6, 1, 10, 0, 0))
|
||
gid = _seed_accepted_request(sqlite_engine, "CLI-T13-LOTS")
|
||
monkeypatch.setattr(settings, "convert_batch_max_lots", 2)
|
||
svc = _services(sqlite_engine)
|
||
|
||
out = confirm_one(
|
||
gid,
|
||
core_ro=svc["core_ro"],
|
||
risk_repo=svc["risk_repo"],
|
||
core_writer=svc["core_writer"],
|
||
request_repo=svc["request_repo"],
|
||
convert_repo=svc["convert_repo"],
|
||
thresholds=_low_thresholds(),
|
||
now=NOW,
|
||
as_of=TODAY,
|
||
)
|
||
|
||
assert out["status"] == "rejected"
|
||
assert out["reject_reason"] == "TOO_MANY_LOTS"
|
||
assert len(_rows(sqlite_engine, "SELECT * FROM core_trade")) == 0 # 无流水
|
||
remain = _rows(
|
||
sqlite_engine,
|
||
"SELECT COALESCE(SUM(remain_qty), 0) AS s FROM core_share_lot "
|
||
"WHERE customer_id = :c AND product_id = :p",
|
||
c=CUST, p=PROD_OUT,
|
||
)[0]["s"]
|
||
assert Decimal(str(remain)) == Decimal("200") # 份额原封不动（占用自然释放）
|
||
req_status = _rows(
|
||
sqlite_engine,
|
||
"SELECT status FROM core_convert_request WHERE convert_group_id = :g", g=gid,
|
||
)[0]["status"]
|
||
assert req_status == "rejected"
|