[hpmaxi]

Summary

Closes #319

Until now the compliance key alone could move any holder's shares, the vault's escrow included, and freeze the vault's address. A legal-order transfer now needs governance's signature in the same call, never moves shares out of or into the vault's address, and only lands on an allowlisted account. A recovery needs the same co-signature and goes only to the new address the identity verifier names. Both move wallet shares only; value the vault holds for a frozen holder waits for an unfreeze.

Changes

• legal_transfer(from, to, amount, reference, operator): compliance asks, the token admin co-signs, two different accounts; publishes LegalTransfer with the order reference
• forced_transfer is manager-only; the vault's escrow is unchanged
• recover_balance needs the admin's co-signature and never moves shares out of or into the vault's address
• Freezing the vault's address, fully or partly, is refused (VaultAddress); unfreezing it stays possible
• health() reports vault_unfrozen, and the vault's finish_setup refuses while its address is frozen
• The harness deploy checks vault_unfrozen; the docs describe the co-signature

Deviations

• recover_balance also refuses the vault as the new account: OpenZeppelin's recovery copies a freeze onto it.
• The self-co-sign test grants the role with grant_role during setup; this base does not refuse that grant yet.
• The vault's frozen-address case joins the existing wiring tables as Miswire::VaultFrozen, frozen through the token before bind_vault, instead of a new test in controls.rs.
• Missing-signature tests also show the call passing once the admin signs.
• Also fixed docs the plan did not list: health table, admin panel, roles and TTL lists.

Acceptance criteria

• legal_transfer needs the compliance authority and the admin as two different accounts in one call
• It refuses the vault's address as source or destination, a destination that fails the identity check, and a missing or overlong reference; it publishes the reference
• forced_transfer is manager-only; the vault's escrow still works
• recover_balance needs the admin's co-signature and never moves the vault's balance
• Freezing the vault's address, fully or partly, is refused
• The vault's finish_setup refuses while its address is frozen

Test plan

Automated tests

1. CARGO_TARGET_DIR=<repo>/target SOROBAN_SDK_BUILD_SYSTEM_SUPPORTS_SPEC_SHAKING_V2=1 cargo test --locked -p share-token legal_transfer: 13 tests pass.
2. CARGO_TARGET_DIR=<repo>/target SOROBAN_SDK_BUILD_SYSTEM_SUPPORTS_SPEC_SHAKING_V2=1 cargo test --locked: the workspace passes (share-token 64, async-vault 370), including every_wiring_step_is_checked_before_setup_finishes and each_missing_wiring_step_shows_in_its_own_flag with the frozen vault.
3. On a fresh local network: npm run deploy, then test:happy-path (24/24), test:guards (46/46) and test:wind-down (6/6). The deploy prints "vault_unfrozen":true.

Manual verification

On the same local network, a script signed as compliance: alone, the SDK asks for governance's signature; co-signed by governance, one share moved; from or to the vault, and freezing the vault, returned VaultAddress; compliance's forced_transfer returned Unauthorized.

Breaking changes

forced_transfer refuses the compliance role. On the next deployment the console's compliance transfer must call legal_transfer with governance's co-signature, and recovery needs it too. health() gains vault_unfrozen, and the token's spec gains legal_transfer, the LegalTransfer event and errors 7012, 7013 and 7015, so clients must be regenerated.

Checklist

• Self-reviewed my own diff
• Tests added or updated
• Docs updated (if applicable)
• No unrelated changes bundled in

Screenshots

None.

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Project	Deployment	Actions	Updated
strata-vault-kit-app	Ready	Preview	Oct 23, 2026 3:32pm UTC

[luchobonatti]

One thing worth a look: vault_unfrozen reads is_frozen, which OZ only sets on a full freeze. A partial freeze on the vault's address before bind_vault would still pass finish_setup, and cancel_redeem hands escrow back through a SEP-41 transfer, which respects it. Would also requiring get_frozen_tokens(vault) == 0 close that window?

The console still calls forced_transfer as compliance (useComplianceTransactions.ts:43), which this makes manager-only — filed #338 to move it to legal_transfer with the co-signature.

[luchobonatti]

Superseded by #264: escrow returns now use the manager forced_transfer, which ignores freezes on the vault's address, so the extra get_frozen_tokens check is unnecessary.