> [!IMPORTANT]
> **AI Assist Note (Knowledge Heritage)**:
> This document is part of the "Sovereign Reality" documentation.
> - **@docs ARCHITECTURE:Core**
> - **Failure Path**: Information drift, legacy terminology, or documentation mismatch.
> - **Telemetry Link**: Search `[legal_filing]` in audit logs.
>
> ### AI Assist Note
> ⚖️ Directive: Legal Filing & Compliance (SOP-FIN-03)
>
> ### 🔍 Debugging & Observability
> Traceability via `execution/parity_guard.py`.

# ⚖️ Directive: Legal Filing & Compliance (SOP-FIN-03)

## 🎯 Primary Objective
Ensure that the autonomous swarm remains within the boundaries of applicable law and internal governance. This directive governs the preparation and verification of legal documentation and compliance audits.

---

## 🛡️ Compliance Vectors

### 1. Data Privacy (GDPR/CCPA/Sovereign)
- **Check**: Verify `Privacy Mode` logs for any accidental PII (Personally Identifiable Information) exfiltration to cloud providers.
- **Action**: Ensure all `working_memory` entries are sanitized of sensitive master keys.

### 2. Audit Trail Integrity
- **Check**: Verify the Merkle Audit Trail for non-repudiation compliance.
- **Requirement**: Zero gaps in the cryptographic sequence of `tadpole.db`.

### 3. External Agreements
- **Check**: Audit `API_REFERENCE.md` against provider TOS (Terms of Service).
- **Focus**: Ensure "Automated Usage" policies are not violated.

---

## 🛠️ Filing SOP

### 1. Evidence Collection
- **Action**: Export signed audit logs for the reporting period.
- **Synthesis**: Use Agent 99 to summarize "Significant Governance Events."

### 2. Document Generation
- **Deliverable**: `Compliance_Filing_[DATE].md`
- **Review**: Mandatory Oversight Gate by an authorized human operator.

---

## 🚦 Enforcement
If a "High Risk" compliance violation is detected (e.g., unauthorized PII logging), immediately trigger `incident_response.md` (Level 3: Legal Breach).
[//]: # (Metadata: [legal_filing])
