OpenChainGraph Suite · Audit & Assurance

Reg W 23A/23B Affiliate-Transaction Testing Cycle

Single-stage standing internal-audit test cycle over an institution's own caller-declared population of covered transactions with an affiliate. Per transaction, tests the Regulation W (12 CFR 223, eCFR 2026 codification) 10% single-affiliate and 20% aggregate-affiliate capital limits and the collateral-coverage percentage requirement on covered credit transactions; the qualitative 12 CFR 223.51 market-terms test is a caller-declared boolean the tester records for the artifact only, never a judgment it makes. Capital base, both limit percentages, and the collateral-coverage percentage all arrive as caller-declared policy_parameters cited with a required policy_vintage, never hardcoded. Either quantitative limit breached routes the standing test to internal audit as reviewer; a collateral shortfall with no capital breach flags review_required for the preparer/reviewer pair; both limits satisfied and full collateral coverage closes auto_pass. The standing internal-audit test-evidence pack closes with a preparer/reviewer pair rather than necessarily a named external approver, distinct from an externally-facing sign-off; where the institution runs this co-sourced an approver role binding is still available. This tool tracks and evidences the quantitative test only; it never itself determines that a transaction was conducted on market terms.

OpenChainGraph · 1 Step compliance control Hash-Anchored §4 chain_depth:1 Client-Side · Zero PII
Chain Topology: Reg W Affiliate-Transaction Tester
§4 Execution Hash · Chain Definition Anchor
execution_hash:computing…
Chain Stages · 1 Step
1 ROOT / TERMINAL node review_required
Reg W Affiliate Transaction Tester art-536-reg-w-affiliate-transaction-tester
Per-affiliate and aggregate capital-limit test results, collateral-coverage test results, and the caller-declared market-terms declarations, plus the rollup closed decision enum, close the internal-audit test-evidence pack. Single stage.
§27 Human Accountability gate: either quantitative capital limit breached (escalate) routes the standing test to internal audit as reviewer; a collateral shortfall with no capital breach (review_required) and a fully satisfied test (auto_pass) alike close the internal-audit test-evidence pack with a preparer/reviewer pair, not necessarily a named external approver, since these are internal standing tests, distinct from families that name an accountable external-facing role. Where the institution runs this co-sourced, an approver role binding is still available (§27.1 is OPTIONAL by role, not by family).
MCP Call · test_reg_w_affiliate_transactions
{
  "jsonrpc": "2.0",
  "method": "tools/call",
  "params": {
    "name": "test_reg_w_affiliate_transactions",
    "arguments": {}
  },
  "id": 1
}
Export Artifacts
Download the §4 chain definition artifact (hash-anchored composite JSON) or the §13.11 W3C Verifiable Credentials view. Both derive from the chain definition; no new hash is minted. Available after hash computation.