zhanghongyu_0626
647c07062e
- Introduced `pending_trade` handling in the chat API to manage trade requests more effectively. - Updated the `submit_trade_api` to allow advisors to access customer trades based on assigned roles. - Added new methods in `GatewayRepository` for managing core holdings during trade subscriptions and redemptions. - Implemented context-aware trade dialogue management in the customer service layer to improve user experience during multi-turn interactions. - Enhanced the tool service to support trade actions and suitability checks, ensuring accurate processing of user requests. This update significantly improves the trade interaction flow, providing a more robust and user-friendly experience for customers engaging in trading activities.
169 lines
8.4 KiB
Python
169 lines
8.4 KiB
Python
"""模拟交易网关路由（PRD FR-1 · 薄路由，不含业务）。
|
||
|
||
鉴权：`Depends(get_auth_context)`（B6 回挂，评审 P2-2）——一期接受
|
||
risk_demo 演示账号或客户本人（auth.customer_id == 请求 customer_id，
|
||
PRD FR-1 §鉴权）；越权经 deps.deny 审计后 403。T-01 后工厂内部换 JWT。
|
||
trace：main 中间件贯通（B7），响应头 X-Trace-Id 回写；service 层 ensure_trace
|
||
仍兜底脚本/测试直调场景。
|
||
挂载：main.py include（B7）。错误体统一 ApiError → 手册 §10 结构（挂账④）。
|
||
|
||
T-9 起支持三型 trade_type（架构 §8.1）：
|
||
- `subscribe`：`product_id` + **`amount`**（申购按金额申报，行为不变）；
|
||
- `redeem`：`product_id` + **`qty`**（**份额申报** · D26/R-6，PRD Q15「金额申购、
|
||
份额赎回」行业铁律；T-9 起不再接受 amount 反算 —— 变更前的 `amount` 入参
|
||
属 v1.0 项目侧简化，已废弃）；
|
||
- `convert`：`from_product_id` + `to_product_id` + `qty`（+ 可选 `client_request_id`），
|
||
交网关分派至 `convert_service.accept_convert`（T 日**受理**，不扣份额不折算）；
|
||
**受理成功 → 202 + 受理回执（PRD §5.3.1）**；适当性阻断 → 200 + `blocked=true`
|
||
（HTTP 语义与 FR-1 一致）。
|
||
|
||
**两类 202 需分辨**（PRD §5.3.1 表「重复提交（幂等命中 / 在飞）」）：
|
||
`status='accepted'` = 受理成功（`accepted=true`，含幂等命中返回既有单）；
|
||
`status='processing'` = 并发执行中（v1.0 实时链路遗留形态，T-9 改分派后
|
||
新链路不再产生，保留分支以兼容过渡期）。
|
||
"""
|
||
|
||
from __future__ import annotations
|
||
|
||
from decimal import Decimal
|
||
from typing import Any
|
||
|
||
from fastapi import APIRouter, Depends
|
||
from fastapi.responses import JSONResponse
|
||
from pydantic import BaseModel, Field, model_validator
|
||
|
||
from app.api.deps import AuthContext, deny, get_auth_context
|
||
from app.gateway.trade_gateway import UnsupportedTradeType, submit_trade
|
||
from app.repository.core_ro import CoreReadOnlyRepository
|
||
from app.repository.risk_repository import RiskRepository
|
||
from app.service.convert.convert_service import PROCESSING
|
||
from app.utils.exceptions import ApiError, NotFoundError
|
||
from app.utils.trace import HEADER_ID_PATTERN
|
||
|
||
router = APIRouter(prefix="/api/simulate", tags=["simulate"])
|
||
|
||
#: 走「网关直写 core_trade」的普通申赎类型；convert 有独立分支（T-9）。
|
||
SIMPLE_TRADE_TYPES = ("subscribe", "redeem")
|
||
#: 按**金额**申报的普通类型（申购 · FR-C16）。
|
||
AMOUNT_TRADE_TYPES = ("subscribe",)
|
||
#: 按**份额**申报的类型（赎回 · D26/R-6；convert 亦为份额，但字段池不同）。
|
||
QTY_TRADE_TYPES = ("redeem",)
|
||
|
||
|
||
def _repo() -> RiskRepository:
|
||
"""审计仓储（deny 留痕用；测试 monkeypatch 点）。"""
|
||
return RiskRepository()
|
||
|
||
|
||
class TradeRequest(BaseModel):
|
||
"""模拟交易请求（架构 §8.1）。
|
||
|
||
**字段按 `trade_type` 分池**（三型互斥，由 `_check_by_trade_type` 把关）：
|
||
- `subscribe` → `product_id` + `amount`（**金额申购**）；
|
||
- `redeem` → `product_id` + `qty`（**份额赎回** · D26，T-9 起）；
|
||
- `convert` → `from_product_id` + `to_product_id` + `qty`（+ 可选 `client_request_id`）。
|
||
|
||
`amount` / `qty` 的 `gt=0` **必须保留**（R5）：pydantic v2 对 `None` 不触发
|
||
数值校验、对 `0`/负数触发 → 「非正值 → 422」用例零改动通过（2.13.4 已实测）。
|
||
"""
|
||
|
||
customer_id: str = Field(..., min_length=1)
|
||
trade_type: str = Field(..., max_length=16, description="subscribe | redeem | convert")
|
||
|
||
# ── subscribe / redeem 共用 ──
|
||
product_id: str | None = Field(None, description="subscribe/redeem 必填")
|
||
|
||
# ── subscribe 专用（金额申购）──
|
||
amount: Decimal | None = Field(None, gt=0, description="申购金额（元）；仅 subscribe 必填")
|
||
|
||
# ── redeem / convert 专用（份额申报）──
|
||
from_product_id: str | None = Field(None, description="convert 必填：转出基金")
|
||
to_product_id: str | None = Field(None, description="convert 必填：转入基金")
|
||
qty: Decimal | None = Field(
|
||
None, gt=0, description="申请份额；redeem（份额赎回）与 convert 必填"
|
||
)
|
||
client_request_id: str | None = Field(
|
||
None,
|
||
description="幂等键；白名单与 X-Trace-Id 共用同一份（S4，避免两套正则漂移）",
|
||
)
|
||
|
||
@model_validator(mode="after")
|
||
def _check_by_trade_type(self) -> TradeRequest:
|
||
"""按 `trade_type` 分支校验（架构 §8.1）。
|
||
|
||
**未知类型不拦**：交网关抛 `UnsupportedTradeType` → 400，保持既有
|
||
`purchase → 400` 断言（R3）。校验失败抛 `ValueError` → FastAPI 统一 422。
|
||
"""
|
||
if self.trade_type in AMOUNT_TRADE_TYPES:
|
||
if self.product_id is None or self.amount is None:
|
||
raise ValueError(f"{self.trade_type} 需同时提供 product_id 与 amount")
|
||
elif self.trade_type in QTY_TRADE_TYPES:
|
||
# D26/R-6：赎回按**份额**申报（行业铁律「金额申购、份额赎回」）——
|
||
# 缺 qty 即 422，**不再**退回按 amount 反算份额的 v1.0 简化口径。
|
||
if self.product_id is None or self.qty is None:
|
||
raise ValueError(
|
||
"redeem 需同时提供 product_id 与 qty（份额申报 · D26/R-6）"
|
||
)
|
||
elif self.trade_type == "convert":
|
||
if (
|
||
self.from_product_id is None
|
||
or self.to_product_id is None
|
||
or self.qty is None
|
||
):
|
||
raise ValueError("convert 需同时提供 from_product_id / to_product_id / qty")
|
||
if self.client_request_id is not None and not HEADER_ID_PATTERN.fullmatch(
|
||
self.client_request_id
|
||
):
|
||
raise ValueError(
|
||
"client_request_id 仅允许字母、数字与 . _ - ，长度 1~64（同 X-Trace-Id 白名单）"
|
||
)
|
||
return self
|
||
|
||
|
||
@router.post("/trade")
|
||
def submit_trade_api(
|
||
req: TradeRequest, auth: AuthContext = Depends(get_auth_context)
|
||
) -> Any:
|
||
"""模拟交易（FR-1）：适当性阻断或放行 + 引擎判定，返回 blocked + trade_id。
|
||
|
||
convert（T-9）：**受理成功 → 202 + 受理回执**（PRD §5.3.1，含 `convert_group_id`
|
||
与 `status='accepted'`）；适当性阻断等其余业务结果（含 `blocked=true`）**均 200**。
|
||
见模块 docstring「两类 202」。
|
||
"""
|
||
core_ro = CoreReadOnlyRepository()
|
||
allowed = auth.has_role("risk_demo") or (
|
||
auth.is_customer() and auth.customer_id == req.customer_id
|
||
)
|
||
if not allowed and auth.has_role("advisor"):
|
||
allowed = core_ro.is_advisor_assigned(auth.actor_id, req.customer_id)
|
||
if not allowed:
|
||
deny(
|
||
auth, "AUTH_403_ROLE", _repo(),
|
||
customer_id=req.customer_id, message="risk_demo, owner customer, or assigned advisor",
|
||
agent_type="platform", # 网关越权与放行审计同口径（复审 P3）
|
||
)
|
||
try:
|
||
# exclude_none：convert 请求不带 product_id/amount，申赎请求不带 from/to/qty，
|
||
# 与改造前 `model_dump()` 的输出逐键等价（新字段全为 None 时被剔除）。
|
||
result = submit_trade(
|
||
req.model_dump(exclude_none=True), actor_id=auth.actor_id
|
||
)
|
||
except UnsupportedTradeType as exc:
|
||
raise ApiError(400, "BAD_REQUEST", str(exc)) from exc
|
||
except NotFoundError as exc:
|
||
# B6 评审 P3-5 的收敛锚点：服务层抛的是 `NotFoundError`（精确 404）。
|
||
# T-9 由 `except LookupError` 收窄至此 —— `KeyError` 同为 `LookupError`
|
||
# 子类，原写法会把服务层「字段缺失」这类**编程错误静默转成 404**
|
||
# （本次实测：convert 分支 KeyError 被吞成 NOT_FOUND，掩盖真实诊断）。
|
||
raise ApiError(404, "NOT_FOUND", str(exc)) from exc
|
||
|
||
if req.trade_type == "convert":
|
||
# 两类 202 分辨（PRD §5.3.1）：
|
||
# ① status='processing' → 并发执行中（v1.0 实时链路遗留，T-9 新链路不再产生）；
|
||
# ② accepted=True（status='accepted' 或幂等命中既有单）→ 受理成功。
|
||
# 阻断（blocked=true）不落 202 —— 它不是"已受理"，走 200 + blocked 语义。
|
||
if result.get("status") == PROCESSING or result.get("accepted") is True:
|
||
return JSONResponse(status_code=202, content=result)
|
||
return result
|
||
|