Align client onboarding documents and engagement AQMM workflow
This commit is contained in:
A R R R Associates
@@ -82,184 +82,29 @@
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</section>
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<section class="rounded-2xl bg-white p-6 shadow-soft xl:col-span-2">
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{% set acc_status = row.acceptance_status or 'pending_review' %}
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<div class="flex items-start justify-between gap-3">
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<div class="flex flex-col gap-4 md:flex-row md:items-start md:justify-between">
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<div>
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<h3 class="text-base font-semibold text-slate-900">Client Acceptance Controls</h3>
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<p class="mt-1 text-sm text-slate-500">Embedded AQMM / peer-review evidence for acceptance, independence, conflict, KYC and engagement letter controls.</p>
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<h3 class="text-base font-semibold text-slate-900">Client Onboarding & Permanent Documents</h3>
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<p class="mt-1 text-sm text-slate-500">Client-master onboarding is limited to legal/KYC records and permanent documents. Engagement-specific AQMM formalities are managed from each engagement according to its existing Assurance / Non-Assurance classification.</p>
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</div>
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<span class="rounded-full px-3 py-1 text-xs font-semibold {% if acc_status == 'approved' %}bg-emerald-100 text-emerald-700{% elif acc_status == 'rejected' %}bg-rose-100 text-rose-700{% else %}bg-amber-100 text-amber-800{% endif %}">{{ acc_status.replace('_',' ').title() }}</span>
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<span class="shrink-0 rounded-full px-3 py-1 text-xs font-semibold {% if permanent_document_count %}bg-emerald-100 text-emerald-700{% else %}bg-amber-100 text-amber-800{% endif %}">
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{{ permanent_document_count }} permanent document{{ '' if permanent_document_count == 1 else 's' }}
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</span>
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</div>
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<div class="mt-4 grid gap-3 md:grid-cols-2">
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{% for label, ok in [
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('Acceptance Required', row.acceptance_required),
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('Independence Check', row.independence_check_completed),
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('Conflict Check', row.conflict_check_completed),
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('KYC Completed', row.kyc_completed),
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('Engagement Letter Required', row.engagement_letter_required),
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('Engagement Letter Received', row.engagement_letter_received)
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] %}
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<div class="rounded-xl border border-slate-200 px-4 py-3">
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<div class="text-xs font-semibold uppercase tracking-wide text-slate-500">{{ label }}</div>
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<div class="mt-1 text-sm font-medium {% if ok %}text-emerald-700{% else %}text-amber-700{% endif %}">{{ 'Yes' if ok else 'No' }}</div>
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</div>
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{% endfor %}
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<div class="rounded-xl border border-slate-200 px-4 py-3">
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<div class="text-xs font-semibold uppercase tracking-wide text-slate-500">Approved By</div>
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<div class="mt-1 text-sm text-slate-800">{{ row.acceptance_approved_by_user_id or '-' }}</div>
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</div>
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<div class="rounded-xl border border-slate-200 px-4 py-3">
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<div class="text-xs font-semibold uppercase tracking-wide text-slate-500">Approved At</div>
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<div class="mt-1 text-sm text-slate-800">{{ row.acceptance_approved_at_utc or '-' }}</div>
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</div>
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</div>
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{% if row.acceptance_review_notes %}
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<div class="mt-4 rounded-xl border border-slate-200 bg-slate-50 px-4 py-3 text-sm text-slate-700">
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<div class="font-semibold text-slate-900">Review Notes</div>
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<div class="mt-1 whitespace-pre-wrap">{{ row.acceptance_review_notes }}</div>
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</div>
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{% endif %}
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{% if row.acceptance_rejection_reason %}
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<div class="mt-4 rounded-xl border border-rose-200 bg-rose-50 px-4 py-3 text-sm text-rose-800">
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<div class="font-semibold text-rose-900">Rejection / Remediation Notes</div>
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<div class="mt-1 whitespace-pre-wrap">{{ row.acceptance_rejection_reason }}</div>
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</div>
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{% endif %}
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{% if can_approve_acceptance or can_manage_acceptance %}
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<div class="mt-5 grid gap-3 md:grid-cols-3">
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{% if can_approve_acceptance %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/approve" class="space-y-2">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<textarea name="acceptance_review_notes" rows="2" placeholder="Approval notes" class="w-full rounded-xl border border-slate-300 px-3 py-2 text-sm">{{ row.acceptance_review_notes or '' }}</textarea>
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<button class="w-full rounded-xl bg-emerald-600 px-4 py-2 text-sm font-semibold text-white hover:bg-emerald-700">Approve Acceptance</button>
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</form>
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<form method="post" action="/clients/{{ row.id }}/acceptance/reject" class="space-y-2">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<textarea name="acceptance_rejection_reason" rows="2" placeholder="Rejection/remediation reason" class="w-full rounded-xl border border-slate-300 px-3 py-2 text-sm">{{ row.acceptance_rejection_reason or '' }}</textarea>
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<button class="w-full rounded-xl bg-rose-600 px-4 py-2 text-sm font-semibold text-white hover:bg-rose-700">Reject</button>
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</form>
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{% endif %}
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{% if can_manage_acceptance %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/pending" class="space-y-2">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<textarea name="acceptance_review_notes" rows="2" placeholder="Pending review notes" class="w-full rounded-xl border border-slate-300 px-3 py-2 text-sm">{{ row.acceptance_review_notes or '' }}</textarea>
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<button class="w-full rounded-xl border border-amber-300 px-4 py-2 text-sm font-semibold text-amber-800 hover:bg-amber-50">Move to Pending</button>
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</form>
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{% endif %}
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</div>
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{% endif %}
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<div class="mt-6 rounded-2xl border border-indigo-100 bg-indigo-50/50 p-4">
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<div class="flex flex-wrap items-start justify-between gap-3">
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<div>
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<h4 class="text-sm font-semibold uppercase tracking-wide text-indigo-900">Digital Acceptance Workflow</h4>
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<p class="mt-1 text-sm text-indigo-800">Declarations, KYC from permanent documents and engagement letter acceptance are captured as audit evidence.</p>
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</div>
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<span class="rounded-full px-3 py-1 text-xs font-semibold {% if workflow_ready %}bg-emerald-100 text-emerald-700{% else %}bg-amber-100 text-amber-800{% endif %}">{{ 'Ready for Approval' if workflow_ready else 'Pending Evidence' }}</span>
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<div class="mt-5 grid gap-4 md:grid-cols-2">
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<div class="rounded-2xl border border-slate-200 bg-slate-50 p-4">
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<h4 class="text-sm font-semibold text-slate-900">Permanent KYC Documents</h4>
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<p class="mt-1 text-sm text-slate-600">Upload PAN, registration/constitution records, authorised-person KYC, bank proof and other standing documents. The checklist adapts to the client’s legal constitution.</p>
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<a href="/documents/permanent/clients/{{ row.id }}?onboarding=1" class="mt-4 inline-flex rounded-xl bg-brand-600 px-4 py-2 text-sm font-semibold text-white hover:bg-brand-700">Open Onboarding Documents</a>
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</div>
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<div class="mt-4 grid gap-4 lg:grid-cols-3">
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<div class="rounded-xl border border-white bg-white p-4 shadow-sm">
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<div class="flex items-center justify-between gap-2">
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<h5 class="text-sm font-semibold text-slate-900">Independence / Conflict Declarations</h5>
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{% if can_manage_acceptance %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/request-declarations">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<button class="rounded-lg bg-indigo-600 px-3 py-1.5 text-xs font-semibold text-white hover:bg-indigo-700">Request</button>
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</form>
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{% endif %}
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</div>
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<div class="mt-3 space-y-2">
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{% if acceptance_declarations %}
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{% for d in acceptance_declarations %}
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<div class="rounded-lg border border-slate-200 p-3 text-xs">
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<div class="font-semibold text-slate-800">{{ d.declaration_type.replace('_',' ').title() }} · User #{{ d.assigned_user_id }}</div>
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<div class="mt-1 {% if d.status == 'declared_clear' %}text-emerald-700{% elif d.status == 'declared_issue' %}text-rose-700{% else %}text-amber-700{% endif %}">{{ d.status.replace('_',' ').title() }}</div>
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{% if d.assigned_user_id == current_user.id and d.status == 'pending' %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/declarations/{{ d.id }}/submit" class="mt-2 space-y-2">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<select name="declaration_result" class="w-full rounded-lg border border-slate-300 px-2 py-1 text-xs">
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<option value="clear">Declare Clear / No Issue</option>
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<option value="issue">Declare Issue / Conflict</option>
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</select>
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<textarea name="response_notes" rows="2" placeholder="Notes" class="w-full rounded-lg border border-slate-300 px-2 py-1 text-xs"></textarea>
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<textarea name="issue_details" rows="2" placeholder="Issue details if any" class="w-full rounded-lg border border-slate-300 px-2 py-1 text-xs"></textarea>
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<button class="rounded-lg bg-slate-900 px-3 py-1.5 text-xs font-semibold text-white">Submit Declaration</button>
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</form>
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{% endif %}
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</div>
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{% endfor %}
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{% else %}
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<div class="text-xs text-slate-500">No declaration requests have been created yet.</div>
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{% endif %}
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</div>
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</div>
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<div class="rounded-xl border border-white bg-white p-4 shadow-sm">
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<div class="flex items-center justify-between gap-2">
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<h5 class="text-sm font-semibold text-slate-900">KYC from Permanent Documents</h5>
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{% if can_manage_acceptance %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/kyc/sync">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<button class="rounded-lg border border-slate-300 px-3 py-1.5 text-xs font-semibold text-slate-700 hover:bg-slate-50">Sync</button>
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</form>
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{% endif %}
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</div>
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<div class="mt-3 text-xs text-slate-600">Permanent documents found: <span class="font-semibold">{{ permanent_document_count }}</span></div>
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<div class="mt-2 rounded-lg bg-slate-50 p-3 text-xs text-slate-600 whitespace-pre-wrap max-h-40 overflow-auto">{{ permanent_document_summary or 'No permanent document summary available. Click Sync after client uploads permanent documents.' }}</div>
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{% if kyc_verification %}
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<div class="mt-3 text-xs font-semibold {% if kyc_verification.status == 'verified' %}text-emerald-700{% elif kyc_verification.status == 'rejected' %}text-rose-700{% else %}text-amber-700{% endif %}">KYC Status: {{ kyc_verification.status.replace('_',' ').title() }}</div>
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{% endif %}
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{% if can_manage_acceptance or can_approve_acceptance %}
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<div class="mt-3 grid gap-2">
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<form method="post" action="/clients/{{ row.id }}/acceptance/kyc/verify" class="space-y-2">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<textarea name="verification_notes" rows="2" placeholder="KYC verification notes" class="w-full rounded-lg border border-slate-300 px-2 py-1 text-xs"></textarea>
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<button class="w-full rounded-lg bg-emerald-600 px-3 py-1.5 text-xs font-semibold text-white hover:bg-emerald-700">Verify KYC</button>
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</form>
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<form method="post" action="/clients/{{ row.id }}/acceptance/kyc/reject" class="space-y-2">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<textarea name="verification_notes" rows="2" placeholder="Resubmission remarks" class="w-full rounded-lg border border-slate-300 px-2 py-1 text-xs"></textarea>
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<button class="w-full rounded-lg border border-rose-300 px-3 py-1.5 text-xs font-semibold text-rose-700 hover:bg-rose-50">Reject / Request Resubmission</button>
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</form>
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</div>
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{% endif %}
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</div>
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<div class="rounded-xl border border-white bg-white p-4 shadow-sm">
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<h5 class="text-sm font-semibold text-slate-900">Engagement Letter</h5>
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{% if engagement_letter %}
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<div class="mt-2 text-xs text-slate-600">Version {{ engagement_letter.version_no }} · <span class="font-semibold">{{ engagement_letter.status.replace('_',' ').title() }}</span></div>
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<a href="/clients/{{ row.id }}/acceptance/engagement-letter/{{ engagement_letter.id }}/download" target="_blank" class="mt-3 inline-flex rounded-lg border border-slate-300 px-3 py-1.5 text-xs font-semibold text-slate-700 hover:bg-slate-50">View / Print PDF</a>
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{% if can_approve_acceptance and engagement_letter.status == 'draft' %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/engagement-letter/{{ engagement_letter.id }}/approve-send" class="mt-3">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<button class="w-full rounded-lg bg-indigo-600 px-3 py-1.5 text-xs font-semibold text-white hover:bg-indigo-700">Partner Approve & Send</button>
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</form>
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{% endif %}
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{% if (can_manage_acceptance or can_approve_acceptance) and engagement_letter.status == 'manual_uploaded' %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/engagement-letter/{{ engagement_letter.id }}/verify-manual" class="mt-3">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<button class="w-full rounded-lg bg-emerald-600 px-3 py-1.5 text-xs font-semibold text-white hover:bg-emerald-700">Verify Manual Signed Copy</button>
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</form>
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{% endif %}
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{% else %}
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<div class="mt-2 text-xs text-slate-500">No engagement letter drafted yet.</div>
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{% endif %}
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{% if can_manage_acceptance %}
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<form method="post" action="/clients/{{ row.id }}/acceptance/engagement-letter/draft" class="mt-4 space-y-2">
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<input type="hidden" name="csrf_token" value="{{ csrf_token }}">
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<input name="title" placeholder="Letter title" class="w-full rounded-lg border border-slate-300 px-2 py-1 text-xs" value="Engagement Letter - {{ row.client_name }}">
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<textarea name="body_text" rows="4" placeholder="Leave blank to use standard engagement letter draft" class="w-full rounded-lg border border-slate-300 px-2 py-1 text-xs"></textarea>
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<button class="w-full rounded-lg border border-indigo-300 px-3 py-1.5 text-xs font-semibold text-indigo-700 hover:bg-indigo-50">Create New Draft</button>
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</form>
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{% endif %}
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</div>
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<div class="rounded-2xl border border-indigo-200 bg-indigo-50 p-4">
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<h4 class="text-sm font-semibold text-indigo-950">AQMM at Engagement Level</h4>
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<p class="mt-1 text-sm text-indigo-800">Create or open an engagement to complete the applicable acceptance, independence, conflict, engagement-letter, evidence, review and closure requirements. The existing engagement classification remains the single source of truth.</p>
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<a href="/services/engagements/new?client_id={{ row.id }}" class="mt-4 inline-flex rounded-xl border border-indigo-300 bg-white px-4 py-2 text-sm font-semibold text-indigo-700 hover:bg-indigo-100">Assign Service / Create Engagement</a>
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</div>
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</div>
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</section>
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<section class="rounded-2xl bg-white p-6 shadow-soft">
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@@ -3,6 +3,7 @@ from __future__ import annotations
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from fastapi import APIRouter, File, Form, Request, UploadFile
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from fastapi.responses import FileResponse, HTMLResponse, JSONResponse, RedirectResponse, Response
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from pydantic import ValidationError
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from sqlalchemy import func, select
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from app.core.db.common import CommonSessionLocal
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from app.core.security.csrf import get_or_create_csrf_token, validate_csrf
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@@ -74,6 +75,7 @@ from app.modules.billing.client_portal_service import (
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)
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from app.modules.billing.services import build_invoice_print_context, create_cashfree_transaction, create_payumoney_transaction, process_cashfree_return, process_cashfree_webhook, process_payumoney_response
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from app.modules.email_integration.services import send_auth_otp_email
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from app.modules.documents.models import PermanentClientDocument
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from app.modules.documents.services import (
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get_permanent_version,
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get_version,
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@@ -623,7 +625,7 @@ async def client_create(request: Request):
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portal_password=(form.get("portal_password") or "").strip() or None,
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portal_password_confirm=(form.get("portal_password_confirm") or "").strip() or None,
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)
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return RedirectResponse(url=f"/clients/{row.id}", status_code=303)
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return RedirectResponse(url=f"/documents/permanent/clients/{row.id}?onboarding=1", status_code=303)
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except Exception as exc:
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return _render(
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request,
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@@ -662,7 +664,12 @@ def client_detail(request: Request, client_id: int):
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return _redirect_denied()
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audit_logs = list_client_audit_logs(db, row=type("Tmp", (), {"id": row["id"]})(), limit=10) if has("clients.audit_log.view") else []
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workflow = build_client_acceptance_workflow_payload(db, client_id=client_id)
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permanent_document_count = db.execute(
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select(func.count(PermanentClientDocument.id)).where(
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PermanentClientDocument.client_id == client_id,
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PermanentClientDocument.is_deleted.is_(False),
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)
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).scalar_one()
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return _render(
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request,
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"modules/clients/templates/clients/detail.html",
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@@ -671,12 +678,7 @@ def client_detail(request: Request, client_id: int):
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title=f"Client • {row['client_name']}",
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row=row,
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audit_logs=audit_logs,
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acceptance_declarations=workflow.get("acceptance_declarations", []),
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kyc_verification=workflow.get("kyc_verification"),
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engagement_letter=workflow.get("engagement_letter"),
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permanent_document_summary=workflow.get("permanent_document_summary"),
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permanent_document_count=workflow.get("permanent_document_count", 0),
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workflow_ready=workflow.get("workflow_ready", False),
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permanent_document_count=permanent_document_count,
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scope=scope,
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can_edit=has("clients.edit"),
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can_deactivate=has("clients.deactivate"),
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