Enforce global security ID uniqueness

OpenCapTable-v34/daml.yaml

@@ -1,7 +1,7 @@
 sdk-version: 3.4.10
 name: OpenCapTable-v34
 source: daml
-version: 0.0.13
+version: 0.0.14
 build-options:
   - -Wno-crypto-text-is-alpha
   - --typecheck-upgrades=no

Test/daml.yaml

@@ -7,6 +7,6 @@ dependencies:
   - daml-stdlib
   - daml-script
 data-dependencies:
-  - ../OpenCapTable-v34/.daml/dist/OpenCapTable-v34-0.0.13.dar
+  - ../OpenCapTable-v34/.daml/dist/OpenCapTable-v34-0.0.14.dar
 build-options:
   - -Wno-template-interface-depends-on-daml-script

Test/daml/OpenCapTable/TestSecurityIdValidation.daml

@@ -11,17 +11,40 @@ module OpenCapTable.TestSecurityIdValidation where
 
 import qualified Fairmint.OpenCapTable.OCF.StockTransfer as ST
 import qualified Fairmint.OpenCapTable.OCF.WarrantTransfer as WT
+import qualified Fairmint.OpenCapTable.OCF.WarrantIssuance as WI
 import qualified Fairmint.OpenCapTable.OCF.ConvertibleTransfer as CVT
 import qualified Fairmint.OpenCapTable.OCF.EquityCompensationTransfer as ECT
 import qualified Fairmint.OpenCapTable.CapTable as CT
 import Fairmint.OpenCapTable.Types.Monetary (OcfMonetary(..))
 import OpenCapTable.Setup
-import OpenCapTable.TestHelpers (addPrerequisites, addDefaultStockIssuance, addDefaultWarrantIssuance, addDefaultConvertibleIssuance, addDefaultEquityCompensationIssuance)
+import OpenCapTable.TestHelpers (addPrerequisites, addDefaultStockIssuance, addDefaultWarrantIssuance, addDefaultConvertibleIssuance, addDefaultEquityCompensationIssuance, addStockIssuance, defaultStockIssuance)
 import qualified DA.Date as DA
 import DA.Date (Month(..))
+import qualified DA.Map as Map
 import qualified DA.Time as DT
 import Daml.Script
 
+warrantIssuanceData : Text -> Text -> Text -> WI.WarrantIssuanceOcfData
+warrantIssuanceData issuanceId securityId stakeholderId = WI.WarrantIssuanceOcfData with
+  id = issuanceId
+  custom_id = "WR-" <> issuanceId
+  date = DT.time (DA.date 2024 Jan 01) 0 0 0
+  purchase_price = OcfMonetary with amount = 1.0, currency = "USD"
+  security_id = securityId
+  stakeholder_id = stakeholderId
+  comments = []
+  exercise_triggers = []
+  security_law_exemptions = []
+  vestings = []
+  board_approval_date = None
+  consideration_text = None
+  exercise_price = None
+  quantity = Some 100.0
+  quantity_source = None
+  stockholder_approval_date = None
+  vesting_terms_id = None
+  warrant_expiration_date = None
+
 
 -- =============================================================================
 -- Test: Non-existent security_id fails with clear error
@@ -204,6 +227,153 @@ testEquityCompensationTransfer_WrongSecurityTypeFails = script do
       deletes = []
   pure ()
 
+-- =============================================================================
+-- Test: security_id values are globally unique across security issuance types
+-- =============================================================================
+
+testSecurityIssuance_DuplicateSecurityIdAcrossTypesFails = script do
+  TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
+  cap_table <- addPrerequisites issuer cap_table
+  cap_table <- addDefaultStockIssuance issuer cap_table
+
+  submitMustFail issuer do
+    exerciseCmd cap_table CT.UpdateCapTable with
+      creates = [CT.OcfCreateWarrantIssuance (warrantIssuanceData "WR-DUP-STOCK-SECURITY" "SEC-STOCK-1" "SH-1")]
+      edits = []
+      deletes = []
+  pure ()
+
+testSecurityIssuance_DuplicateSecurityIdAcrossTypesFailsInSameBatch = script do
+  TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
+  cap_table <- addPrerequisites issuer cap_table
+
+  submitMustFail issuer do
+    exerciseCmd cap_table CT.UpdateCapTable with
+      creates =
+        [ CT.OcfCreateStockIssuance (defaultStockIssuance "TX-BATCH-STOCK" "SEC-BATCH-DUP" "SH-1" "SC_COMMON")
+        , CT.OcfCreateWarrantIssuance (warrantIssuanceData "TX-BATCH-WARRANT" "SEC-BATCH-DUP" "SH-1")
+        ]
+      edits = []
+      deletes = []
+  pure ()
+
+testSecurityIssuance_EditCannotReuseSecurityIdFromAnotherType = script do
+  TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
+  cap_table <- addPrerequisites issuer cap_table
+  cap_table <- addDefaultWarrantIssuance issuer cap_table
+  cap_table <- addStockIssuance issuer cap_table "STOCK-EDIT-SRC" "SEC-STOCK-EDIT" "SH-1" "SC_COMMON"
+
+  submitMustFail issuer do
+    exerciseCmd cap_table CT.UpdateCapTable with
+      creates = []
+      edits = [CT.OcfEditStockIssuance (defaultStockIssuance "STOCK-EDIT-SRC" "SEC-WR-1" "SH-1" "SC_COMMON")]
+      deletes = []
+  pure ()
+
+-- A final-state validation must reject legacy or upgraded cap tables whose
+-- security ID index is stale and therefore hides a duplicate issuance.
+testSecurityIssuance_FinalStateDuplicateSecurityIdsFail = script do
+  TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
+  cap_table <- addPrerequisites issuer cap_table
+  cap_table <- addDefaultStockIssuance issuer cap_table
+  capTableDataOpt <- queryContractId issuer cap_table
+  let Some capTableData = capTableDataOpt
+
+  duplicateWarrantCid <- submit (actAs issuer <> actAs system_operator) $ createCmd $ WI.WarrantIssuance with
+    context = ctx
+    issuance_data = warrantIssuanceData "WR-UPGRADED-DUPLICATE" "SEC-STOCK-1" "SH-1"
+
+  let corruptedCapTable = capTableData with
+        warrant_issuances = Map.insert "WR-UPGRADED-DUPLICATE" duplicateWarrantCid capTableData.warrant_issuances
+  corruptedCapTableCid <- submit (actAs issuer <> actAs system_operator) $ createCmd corruptedCapTable
+
+  submitMustFail issuer do
+    exerciseCmd corruptedCapTableCid CT.UpdateCapTable with
+      creates = []
+      edits = []
+      deletes = []
+  pure ()
+
+-- Lifecycle outputs identify newly created securities, so an output cannot
+-- reuse the source security's identity.
+testSuccessorSecurityId_CannotReuseSourceSecurityId = script do
+  TestOcp{issuer, cap_table} <- setupTestOcp
+  cap_table <- addPrerequisites issuer cap_table
+  cap_table <- addStockIssuance issuer cap_table "STOCK-SOURCE-REUSE" "SEC-SOURCE-REUSE" "SH-1" "SC_COMMON"
+
+  submitMustFail issuer do
+    exerciseCmd cap_table CT.UpdateCapTable with
+      creates = [CT.OcfCreateStockTransfer ST.StockTransferOcfData with
+        id = "TX-SOURCE-REUSE"
+        date = DT.time (DA.date 2024 Jan 01) 0 0 0
+        security_id = "SEC-SOURCE-REUSE"
+        quantity = 100.0
+        comments = []
+        resulting_security_ids = ["SEC-SOURCE-REUSE"]
+        balance_security_id = None
+        consideration_text = None]
+      edits = []
+      deletes = []
+  pure ()
+
+-- A partial transaction creates distinct recipient and remainder securities.
+testSuccessorSecurityId_BalanceCannotAlsoBeResult = script do
+  TestOcp{issuer, cap_table} <- setupTestOcp
+  cap_table <- addPrerequisites issuer cap_table
+  cap_table <- addStockIssuance issuer cap_table "STOCK-BALANCE-RESULT-SOURCE" "SEC-BALANCE-RESULT-SOURCE" "SH-1" "SC_COMMON"
+
+  submitMustFail issuer do
+    exerciseCmd cap_table CT.UpdateCapTable with
+      creates =
+        [ CT.OcfCreateStockIssuance
+            ((defaultStockIssuance "STOCK-BALANCE-RESULT" "SEC-BALANCE-RESULT" "SH-1" "SC_COMMON") with quantity = 50.0)
+        , CT.OcfCreateStockTransfer ST.StockTransferOcfData with
+            id = "TX-BALANCE-RESULT"
+            date = DT.time (DA.date 2024 Jan 01) 0 0 0
+            security_id = "SEC-BALANCE-RESULT-SOURCE"
+            quantity = 50.0
+            comments = []
+            resulting_security_ids = ["SEC-BALANCE-RESULT"]
+            balance_security_id = Some "SEC-BALANCE-RESULT"
+            consideration_text = None
+        ]
+      edits = []
+      deletes = []
+  pure ()
+
+-- Even when successor issuances are not materialized, one security identity
+-- cannot be claimed as the output of multiple lifecycle transactions.
+testSuccessorSecurityId_CannotBeProducedByMultipleTransactionTypes = script do
+  TestOcp{issuer, cap_table} <- setupTestOcp
+  cap_table <- addPrerequisites issuer cap_table
+  cap_table <- addStockIssuance issuer cap_table "STOCK-SHARED-RESULT-A" "SEC-SHARED-RESULT-A" "SH-1" "SC_COMMON"
+  cap_table <- addDefaultWarrantIssuance issuer cap_table
+
+  submitMustFail issuer do
+    exerciseCmd cap_table CT.UpdateCapTable with
+      creates =
+        [ CT.OcfCreateStockTransfer ST.StockTransferOcfData with
+            id = "TX-SHARED-RESULT-A"
+            date = DT.time (DA.date 2024 Jan 01) 0 0 0
+            security_id = "SEC-SHARED-RESULT-A"
+            quantity = 100.0
+            comments = []
+            resulting_security_ids = ["SEC-SHARED-RESULT"]
+            balance_security_id = None
+            consideration_text = None
+        , CT.OcfCreateWarrantTransfer WT.WarrantTransferOcfData with
+            id = "TX-SHARED-RESULT-B"
+            date = DT.time (DA.date 2024 Jan 01) 0 0 0
+            security_id = "SEC-WR-1"
+            quantity = 100.0
+            comments = []
+            resulting_security_ids = ["SEC-SHARED-RESULT"]
+            balance_security_id = None
+            consideration_text = None
+        ]
+      edits = []
+      deletes = []
+  pure ()
 
 -- =============================================================================
 -- Test: Valid security_id succeeds

dars/dars.lock

@@ -39,6 +39,13 @@
       "uploadedAt": "2026-07-09T18:48:49.697Z",
       "networks": []
     },
+    "OpenCapTable-v34/0.0.14/OpenCapTable-v34.dar": {
+      "sha256": "8d173853748b69a7b4bbb1c291cdf27bde89bcdce1f29ccd98c7601521e28050",
+      "size": 3094585,
+      "sdkVersion": "3.4.10",
+      "uploadedAt": "2026-07-09T18:50:58.571Z",
+      "networks": []
+    },
     "OpenCapTable-v34/0.0.2/OpenCapTable-v34.dar": {
       "sha256": "2ce462b8afcb1bcdbe351c56b0a47de478477f3c655da00e41cb397f63e997d6",
       "size": 2446238,