feat: add portfolio investment api constants and domain models

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/api/InvestmentApiConstants.java

@@ -86,6 +86,15 @@ public final class InvestmentApiConstants {
 
     public static final String PARTY_CODE_PREFIX = "PTY-";
 
+    /**
+     * Deal slip: how the deal was confirmed to the counterparty (entered with the deal), and the counterparty's
+     * confirmation the back office records when it settles the deal.
+     */
+    public static final Set<String> CONFIRMATION_MODES = Set.of("EMAIL", "NDS_OM", "FAX", "LETTER", "PHONE");
+    public static final String CONFIRMATION_MODE = "confirmationMode";
+    public static final String CONFIRMATION_RECEIVED_ON = "confirmationReceivedOn";
+    public static final String CONFIRMATION_REF = "confirmationRef";
+
     // Common parameters
     public static final String BOND_TYPE = "bondType";
     public static final String GL_ACCOUNT_ID = "glAccountId";

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/api/InvestmentDealSlipApiResource.java

@@ -0,0 +1,72 @@
+/**
+ * Licensed to the Apache Software Foundation (ASF) under one
+ * or more contributor license agreements. See the NOTICE file
+ * distributed with this work for additional information
+ * regarding copyright ownership. The ASF licenses this file
+ * to you under the Apache License, Version 2.0 (the
+ * "License"); you may not use this file except in compliance
+ * with the License. You may obtain a copy of the License at
+ *
+ * http://www.apache.org/licenses/LICENSE-2.0
+ *
+ * Unless required by applicable law or agreed to in writing,
+ * software distributed under the License is distributed on an
+ * "AS IS" BASIS, WITHOUT WARRANTIES OR CONDITIONS OF ANY
+ * KIND, either express or implied. See the License for the
+ * specific language governing permissions and limitations
+ * under the License.
+ */
+package org.apache.fineract.portfolio.investment.api;
+
+import io.swagger.v3.oas.annotations.Operation;
+import io.swagger.v3.oas.annotations.Parameter;
+import io.swagger.v3.oas.annotations.tags.Tag;
+import jakarta.ws.rs.GET;
+import jakarta.ws.rs.Path;
+import jakarta.ws.rs.Produces;
+import jakarta.ws.rs.QueryParam;
+import jakarta.ws.rs.core.MediaType;
+import java.time.LocalDate;
+import java.util.List;
+import lombok.RequiredArgsConstructor;
+import org.apache.commons.lang3.StringUtils;
+import org.apache.fineract.infrastructure.core.exception.GeneralPlatformDomainRuleException;
+import org.apache.fineract.infrastructure.core.service.DateUtils;
+import org.apache.fineract.infrastructure.security.service.PlatformSecurityContext;
+import org.apache.fineract.portfolio.investment.data.InvestmentDealSlipData;
+import org.apache.fineract.portfolio.investment.service.InvestmentDealSlipService;
+import org.springframework.stereotype.Component;
+
+@Path("/v1/investment/deal-slips")
+@Component
+@Tag(name = "Investment Deal Slips", description = "Serially numbered deal slips of every purchase, sale, refund, redemption and "
+        + "switch, cancelled ones included, with the confirmation and who entered, approved and settled each deal.")
+@RequiredArgsConstructor
+public class InvestmentDealSlipApiResource {
+
+    /** Default window when no dates are given: the last 30 days. */
+    private static final int DEFAULT_DAYS = 30;
+
+    private final PlatformSecurityContext context;
+    private final InvestmentDealSlipService dealSlipService;
+
+    @GET
+    @Produces({ MediaType.APPLICATION_JSON })
+    @Operation(summary = "Deal slip register", description = "Deals dated fromDate to toDate (dd-MM-yyyy; default the last 30 days) "
+            + "in slip number order; or the one slip numbered slipNo (a purchase deal number or a sale number).")
+    public List<InvestmentDealSlipData> retrieve(@QueryParam("fromDate") @Parameter(description = "dd-MM-yyyy") final String fromDate,
+            @QueryParam("toDate") @Parameter(description = "dd-MM-yyyy") final String toDate,
+            @QueryParam("slipNo") @Parameter(description = "202627000001 or 202627S00001") final String slipNo) {
+        this.context.authenticatedUser().validateHasReadPermission(InvestmentPurchaseApiConstants.ENTITY);
+        if (StringUtils.isNotBlank(slipNo)) {
+            return this.dealSlipService.slip(slipNo);
+        }
+        final LocalDate today = DateUtils.getBusinessLocalDate();
+        final LocalDate to = InvestmentApiDates.parse(toDate, today, "To date");
+        final LocalDate from = InvestmentApiDates.parse(fromDate, to.minusDays(DEFAULT_DAYS), "From date");
+        if (to.isBefore(from)) {
+            throw new GeneralPlatformDomainRuleException("error.msg.investment.dealslip.dates", "The To date cannot be before the From date");
+        }
+        return this.dealSlipService.register(from, to);
+    }
+}

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/api/InvestmentPurchaseApiConstants.java

@@ -72,7 +72,10 @@ public final class InvestmentPurchaseApiConstants {
 
     public static final Set<String> PARAMS = Set.of(BOND_TYPE, SCRIPT_ID, PARTY_ID, DEAL_DATE, DEAL_TIME, SETTLEMENT_TYPE, FACE_VALUE,
             PURCHASE_RATE, CONSIDER_AMT, NAV, STAMP_DUTY, BROKERAGE, OTHER_CHARGES, CATEGORY, LAST_INT_DATE, CR_GL_ACCOUNT_ID, SUB_TYPE,
-            OTHER_DETAILS, LOCALE, DATE_FORMAT);
+            OTHER_DETAILS, InvestmentApiConstants.CONFIRMATION_MODE, LOCALE, DATE_FORMAT);
+    /** Settle may carry the counterparty's confirmation of the deal. */
+    public static final Set<String> SETTLE_PARAMS = Set.of(InvestmentApiConstants.CONFIRMATION_RECEIVED_ON,
+            InvestmentApiConstants.CONFIRMATION_REF, LOCALE, DATE_FORMAT);
 
     /** Dividend received on a share holding: Dr Bank / Cr 400404 Dividend on Investments, dated the day it is received. */
     public static final String DIVIDEND_GL_CODE = "400404";

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/api/InvestmentSaleApiConstants.java

@@ -39,6 +39,11 @@ public final class InvestmentSaleApiConstants {
 
     public static final String STATUS_PENDING_SETTLEMENT = "PENDING_SETTLEMENT";
     public static final String STATUS_SETTLED = "SETTLED";
+    /** Dropped before settlement; kept so its sale number stays accounted for in the deal slip register. */
+    public static final String STATUS_DROPPED = "DROPPED";
+
+    /** Sales that are deals with a deal slip of their own (a sale number); write-offs and amortisation are not. */
+    public static final Set<String> NUMBERED_TYPES = Set.of(TYPE_SELL, TYPE_REDEEM, TYPE_SWITCH);
 
     /** Profit on sale / redemption (income) and loss on sale / redemption (expense). */
     public static final String PROFIT_ON_SALE_GL_CODE = "400405";
@@ -59,6 +64,7 @@ public final class InvestmentSaleApiConstants {
     public static final String BANK_GL_ACCOUNT_ID = "bankGlAccountId";
     public static final String SANCTION_AUTHORITY = "sanctionAuthority";
     public static final String REMARKS = "remarks";
+    public static final String BROKER_CODE = "brokerCode";
     public static final String AMOUNT = "amount";
     public static final String FY_END = "fyEnd";
     public static final String SWITCH_DATE = "switchDate";
@@ -70,7 +76,11 @@ public final class InvestmentSaleApiConstants {
     public static final String DATE_FORMAT = "dateFormat";
 
     public static final Set<String> SELL_PARAMS = Set.of(PURCHASE_ID, PARTY_ID, DEAL_DATE, DEAL_TIME, SETTLEMENT_TYPE, UNITS, SALE_RATE,
-            BROKERAGE, BANK_GL_ACCOUNT_ID, SANCTION_AUTHORITY, REMARKS, LOCALE, DATE_FORMAT);
+            BROKERAGE, BANK_GL_ACCOUNT_ID, SANCTION_AUTHORITY, REMARKS, BROKER_CODE, InvestmentApiConstants.CONFIRMATION_MODE, LOCALE,
+            DATE_FORMAT);
+    /** Settle may carry the counterparty's confirmation of the deal. */
+    public static final Set<String> SETTLE_PARAMS = Set.of(InvestmentApiConstants.CONFIRMATION_RECEIVED_ON,
+            InvestmentApiConstants.CONFIRMATION_REF, LOCALE, DATE_FORMAT);
     public static final Set<String> REDEEM_PARAMS = Set.of(BANK_GL_ACCOUNT_ID, REMARKS, LOCALE, DATE_FORMAT);
     public static final Set<String> WRITEOFF_PARAMS = Set.of(AMOUNT, REMARKS, LOCALE, DATE_FORMAT);
     public static final Set<String> AMORTISE_PARAMS = Set.of(PURCHASE_ID, FY_END, LOCALE, DATE_FORMAT);

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/data/InvestmentDealSlipData.java

@@ -0,0 +1,94 @@
+/**
+ * Licensed to the Apache Software Foundation (ASF) under one
+ * or more contributor license agreements. See the NOTICE file
+ * distributed with this work for additional information
+ * regarding copyright ownership. The ASF licenses this file
+ * to you under the Apache License, Version 2.0 (the
+ * "License"); you may not use this file except in compliance
+ * with the License. You may obtain a copy of the License at
+ *
+ * http://www.apache.org/licenses/LICENSE-2.0
+ *
+ * Unless required by applicable law or agreed to in writing,
+ * software distributed under the License is distributed on an
+ * "AS IS" BASIS, WITHOUT WARRANTIES OR CONDITIONS OF ANY
+ * KIND, either express or implied. See the License for the
+ * specific language governing permissions and limitations
+ * under the License.
+ */
+package org.apache.fineract.portfolio.investment.data;
+
+import java.math.BigDecimal;
+import lombok.Builder;
+import lombok.Getter;
+
+/**
+ * One deal slip: a purchase (BUY) or a sale, refund, redemption or switch, with everything the slip must show — the
+ * counterparty, the security, amount, price, deal date and time, settlement date, how the deal was confirmed, direct or
+ * through a broker (and the brokerage), and who entered, approved, settled or cancelled it. A dropped deal stays on the
+ * register as CANCELLED so its number is accounted for.
+ */
+@Getter
+@Builder
+public class InvestmentDealSlipData {
+
+    /** Purchase deal number (202627000001) or sale number (202627S00001). */
+    private final String slipNo;
+    /** BUY, SELL, REFUND (shares), REDEEM or SWITCH. */
+    private final String side;
+    /** PENDING_SETTLEMENT, SETTLED or CANCELLED. */
+    private final String status;
+    /** Status of the purchase / sale record itself (ACTIVE, SOLD, DROPPED, …). */
+    private final String recordStatus;
+    private final Long purchaseId;
+    private final Long saleId;
+    /** Deal number of the holding (for a sale, the purchase it sells from). */
+    private final String dealNo;
+    private final String certNo;
+    private final String dealDate;
+    private final String dealTime;
+    private final String settlementType;
+    private final String settlementDate;
+    private final String partyCode;
+    private final String counterparty;
+    private final String bondType;
+    private final String scriptCode;
+    private final String scriptDesc;
+    private final String isin;
+    private final String category;
+    private final BigDecimal units;
+    private final BigDecimal faceValue;
+    /** Price per ₹100 of face value, NAV per unit or price per share. */
+    private final BigDecimal price;
+    /** Price of the units without interest or charges. */
+    private final BigDecimal consideration;
+    private final BigDecimal accruedInterest;
+    private final BigDecimal brokerage;
+    /** Stamp duty and other charges of a purchase. */
+    private final BigDecimal otherCharges;
+    /** Money paid out (purchase) or received (sale). */
+    private final BigDecimal netAmount;
+    private final String bankGlCode;
+    private final String bankGlName;
+    /** DIRECT or BROKER. */
+    private final String dealMode;
+    private final String brokerCode;
+    private final String tradeNo;
+    private final String orderNo;
+    private final String confirmationMode;
+    private final String confirmationReceivedOn;
+    private final String confirmationRef;
+    private final String enteredBy;
+    private final String enteredOn;
+    private final String approvedBy;
+    private final String approvedOn;
+    private final String settledBy;
+    private final String settledOn;
+    private final String settleApprovedBy;
+    private final String settleApprovedOn;
+    private final String cancelledBy;
+    private final String cancelledOn;
+    private final String voucherNo;
+    private final String glTransactionId;
+    private final String remarks;
+}

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/data/InvestmentPurchaseData.java

@@ -72,6 +72,9 @@ public class InvestmentPurchaseData {
     private final String crGlCode;
     private final String crGlName;
     private final String otherDetails;
+    private final String confirmationMode;
+    private final String confirmationReceivedOn;
+    private final String confirmationRef;
     private final String status;
     private final String glTransactionId;
     private final String settledOnDate;
@@ -90,7 +93,9 @@ public class InvestmentPurchaseData {
                 .subType(p.getSubType()).investmentGlAccountId(p.getInvestmentGlAccount().getId())
                 .investmentGlCode(p.getInvestmentGlAccount().getGlCode()).investmentGlName(p.getInvestmentGlAccount().getName())
                 .crGlAccountId(p.getCrGlAccount().getId()).crGlCode(p.getCrGlAccount().getGlCode()).crGlName(p.getCrGlAccount().getName())
-                .otherDetails(p.getOtherDetails()).status(p.getStatus()).glTransactionId(p.getGlTransactionId())
+                .otherDetails(p.getOtherDetails()).confirmationMode(p.getConfirmationMode())
+                .confirmationReceivedOn(format(p.getConfirmationReceivedOn())).confirmationRef(p.getConfirmationRef())
+                .status(p.getStatus()).glTransactionId(p.getGlTransactionId())
                 .settledOnDate(format(p.getSettledOnDate())).build();
     }
 

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/data/InvestmentSaleData.java

@@ -35,6 +35,8 @@ public class InvestmentSaleData {
     private final Long id;
     private final Long purchaseId;
     private final String dealNo;
+    /** Deal slip number of the sale itself, e.g. 202627S00001 (empty for a write-off or amortisation). */
+    private final String saleNo;
     private final String certNo;
     private final String bondType;
     private final String scriptCode;
@@ -68,13 +70,17 @@ public class InvestmentSaleData {
     private final String premiumGlCode;
     private final String sanctionAuthority;
     private final String remarks;
+    private final String brokerCode;
+    private final String confirmationMode;
+    private final String confirmationReceivedOn;
+    private final String confirmationRef;
     private final String status;
     private final String glTransactionId;
     private final String voucherNo;
     private final String settledOnDate;
 
     public static InvestmentSaleData from(final InvestmentSale s) {
-        return builder().id(s.getId()).purchaseId(s.getPurchase().getId()).dealNo(s.getPurchase().getDealNo())
+        return builder().id(s.getId()).purchaseId(s.getPurchase().getId()).dealNo(s.getPurchase().getDealNo()).saleNo(s.getSaleNo())
                 .certNo(s.getPurchase().getCertNo()).bondType(s.getPurchase().getBondType())
                 .scriptCode(s.getPurchase().getScript().getScriptCode()).scriptDesc(s.getPurchase().getScript().getScriptDesc())
                 .saleType(s.getSaleType()).partyId(s.getParty() == null ? null : s.getParty().getId())
@@ -88,7 +94,9 @@ public class InvestmentSaleData {
                 .bankGlName(s.getBankGlAccount().getName()).investmentGlCode(s.getPurchase().getInvestmentGlAccount().getGlCode())
                 .premiumGlCode(s.getPurchase().getPremiumGlAccount() != null ? s.getPurchase().getPremiumGlAccount().getGlCode()
                         : s.getPurchase().getInvestmentGlAccount().getGlCode())
-                .sanctionAuthority(s.getSanctionAuthority()).remarks(s.getRemarks()).status(s.getStatus())
+                .sanctionAuthority(s.getSanctionAuthority()).remarks(s.getRemarks()).brokerCode(s.getBrokerCode())
+                .confirmationMode(s.getConfirmationMode()).confirmationReceivedOn(format(s.getConfirmationReceivedOn()))
+                .confirmationRef(s.getConfirmationRef()).status(s.getStatus())
                 .glTransactionId(s.getGlTransactionId()).voucherNo(s.getVoucherNo()).settledOnDate(format(s.getSettledOnDate())).build();
     }
 

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/domain/InvestmentPurchase.java

@@ -151,6 +151,17 @@ public class InvestmentPurchase extends AbstractAuditableWithUTCDateTimeCustom<L
     @Column(name = "other_details", length = 4000)
     private String otherDetails;
 
+    /** How the deal was confirmed to the counterparty (EMAIL, NDS_OM, FAX, LETTER, PHONE), entered with the deal. */
+    @Column(name = "confirmation_mode", length = 10)
+    private String confirmationMode;
+
+    /** Date the counterparty's confirmation / contract note reached the back office, recorded on Settle. */
+    @Column(name = "confirmation_received_on")
+    private LocalDate confirmationReceivedOn;
+
+    @Column(name = "confirmation_ref", length = 100)
+    private String confirmationRef;
+
     @Column(name = "status", nullable = false, length = 20)
     private String status;
 

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/domain/InvestmentPurchaseRepository.java

@@ -19,6 +19,8 @@
 package org.apache.fineract.portfolio.investment.domain;
 
 import jakarta.persistence.LockModeType;
+import java.time.LocalDate;
+import java.util.List;
 import java.util.Optional;
 import org.springframework.data.jpa.repository.JpaRepository;
 import org.springframework.data.jpa.repository.Lock;
@@ -35,4 +37,9 @@ public interface InvestmentPurchaseRepository extends JpaRepository<InvestmentPu
     boolean existsByScriptIdAndStatusNot(Long scriptId, String status);
 
     boolean existsByScriptIdAndStatus(Long scriptId, String status);
+
+    /** Every deal dated in the period, dropped ones included (the deal slip register). */
+    List<InvestmentPurchase> findByDealDateBetween(LocalDate from, LocalDate to);
+
+    Optional<InvestmentPurchase> findByDealNo(String dealNo);
 }

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/domain/InvestmentSale.java

@@ -43,6 +43,13 @@ public class InvestmentSale extends AbstractAuditableWithUTCDateTimeCustom<Long>
     @JoinColumn(name = "purchase_id", nullable = false)
     private InvestmentPurchase purchase;
 
+    /**
+     * Deal slip number of a sale, redemption or switch: financial year, "S" and a running number, e.g. 202627S00001.
+     * Empty for a write-off or amortisation, which are not deals.
+     */
+    @Column(name = "sale_no", length = 20, unique = true)
+    private String saleNo;
+
     /** SELL, REDEEM, WRITEOFF or AMORTISE. */
     @Column(name = "sale_type", nullable = false, length = 10)
     private String saleType;
@@ -118,6 +125,21 @@ public class InvestmentSale extends AbstractAuditableWithUTCDateTimeCustom<Long>
     @Column(name = "remarks", length = 500)
     private String remarks;
 
+    /** Broker of a sale done through a broker (Broker Master code); empty for a direct deal. */
+    @Column(name = "broker_code", length = 20)
+    private String brokerCode;
+
+    /** How the deal was confirmed to the counterparty (EMAIL, NDS_OM, FAX, LETTER, PHONE), entered with the sale. */
+    @Column(name = "confirmation_mode", length = 10)
+    private String confirmationMode;
+
+    /** Date the counterparty's confirmation / contract note reached the back office, recorded on Settle. */
+    @Column(name = "confirmation_received_on")
+    private LocalDate confirmationReceivedOn;
+
+    @Column(name = "confirmation_ref", length = 100)
+    private String confirmationRef;
+
     @Column(name = "status", nullable = false, length = 20)
     private String status;
 

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/domain/InvestmentSaleRepository.java

@@ -19,6 +19,7 @@
 package org.apache.fineract.portfolio.investment.domain;
 
 import jakarta.persistence.LockModeType;
+import java.time.LocalDate;
 import java.util.List;
 import java.util.Optional;
 import org.springframework.data.jpa.repository.JpaRepository;
@@ -34,6 +35,11 @@ public interface InvestmentSaleRepository extends JpaRepository<InvestmentSale,
     @Query("select s from InvestmentSale s where s.id = :saleId")
     Optional<InvestmentSale> findByIdWithLock(@Param("saleId") Long saleId);
 
+    /** Every numbered sale, redemption and switch dated in the period, dropped ones included (the deal slip register). */
+    List<InvestmentSale> findBySaleNoNotNullAndDealDateBetween(LocalDate from, LocalDate to);
+
+    Optional<InvestmentSale> findBySaleNo(String saleNo);
+
     /** The deal of a sale, without loading either, so the deal can be locked first. */
     @Query("select s.purchase.id from InvestmentSale s where s.id = :saleId")
     Optional<Long> findPurchaseIdBySaleId(@Param("saleId") Long saleId);

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/serialization/InvestmentPurchaseCommandFromApiJsonDeserializer.java

@@ -38,6 +38,7 @@ import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApi
 import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants.SCRIPT_ID;
 import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants.SETTLEMENT_TYPE;
 import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants.SETTLEMENT_TYPES;
+import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants.SETTLE_PARAMS;
 import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants.STAMP_DUTY;
 import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants.SUB_TYPE;
 
@@ -122,6 +123,11 @@ public final class InvestmentPurchaseCommandFromApiJsonDeserializer {
         }
         v.reset().parameter(SUB_TYPE).value(this.fromApiJsonHelper.extractStringNamed(SUB_TYPE, element)).ignoreIfNull()
                 .notExceedingLengthOf(40);
+        final String confirmationMode = this.fromApiJsonHelper.extractStringNamed(InvestmentApiConstants.CONFIRMATION_MODE, element);
+        if (StringUtils.isNotBlank(confirmationMode)) {
+            v.reset().parameter(InvestmentApiConstants.CONFIRMATION_MODE).value(confirmationMode)
+                    .isOneOfTheseValues(InvestmentApiConstants.CONFIRMATION_MODES.toArray());
+        }
 
         if (this.fromApiJsonHelper.parameterExists(OTHER_DETAILS, element)) {
             final JsonElement other = element.getAsJsonObject().get(OTHER_DETAILS);
@@ -137,6 +143,26 @@ public final class InvestmentPurchaseCommandFromApiJsonDeserializer {
         }
     }
 
+    /** Settle may record the counterparty's confirmation of the deal: the date it was received and its reference. */
+    public void validateForSettle(final String json) {
+        if (StringUtils.isBlank(json)) {
+            return;
+        }
+        final Type typeOfMap = new TypeToken<Map<String, Object>>() {}.getType();
+        this.fromApiJsonHelper.checkForUnsupportedParameters(typeOfMap, json, SETTLE_PARAMS);
+        final JsonElement element = this.fromApiJsonHelper.parse(json);
+        final List<ApiParameterError> errors = new ArrayList<>();
+        final DataValidatorBuilder v = new DataValidatorBuilder(errors).resource(RESOURCE);
+        // A malformed date fails here; the dates it may take are checked against the deal.
+        this.fromApiJsonHelper.extractLocalDateNamed(InvestmentApiConstants.CONFIRMATION_RECEIVED_ON, element);
+        v.reset().parameter(InvestmentApiConstants.CONFIRMATION_REF)
+                .value(this.fromApiJsonHelper.extractStringNamed(InvestmentApiConstants.CONFIRMATION_REF, element)).ignoreIfNull()
+                .notExceedingLengthOf(100);
+        if (!errors.isEmpty()) {
+            throw new PlatformApiDataValidationException("validation.msg.validation.errors.exist", "Validation errors exist.", errors);
+        }
+    }
+
     private BigDecimal amount(final String param, final JsonElement element) {
         return this.fromApiJsonHelper.parameterExists(param, element)
                 ? this.fromApiJsonHelper.extractBigDecimalWithLocaleNamed(param, element)

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/serialization/InvestmentSaleCommandFromApiJsonDeserializer.java

@@ -21,6 +21,7 @@ package org.apache.fineract.portfolio.investment.serialization;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.AMOUNT;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.BANK_GL_ACCOUNT_ID;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.BROKERAGE;
+import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.BROKER_CODE;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.DEAL_DATE;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.PARTY_ID;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.PURCHASE_ID;
@@ -31,6 +32,7 @@ import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiCons
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.SANCTION_AUTHORITY;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.SELL_PARAMS;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.SETTLEMENT_TYPE;
+import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.SETTLE_PARAMS;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.UNITS;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.WRITEOFF_PARAMS;
 
@@ -48,6 +50,7 @@ import org.apache.fineract.infrastructure.core.data.DataValidatorBuilder;
 import org.apache.fineract.infrastructure.core.exception.InvalidJsonException;
 import org.apache.fineract.infrastructure.core.exception.PlatformApiDataValidationException;
 import org.apache.fineract.infrastructure.core.serialization.FromJsonHelper;
+import org.apache.fineract.portfolio.investment.api.InvestmentApiConstants;
 import org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants;
 import org.springframework.stereotype.Component;
 
@@ -84,6 +87,29 @@ public final class InvestmentSaleCommandFromApiJsonDeserializer {
                 .ignoreIfNull().notExceedingLengthOf(100);
         v.reset().parameter(REMARKS).value(this.fromApiJsonHelper.extractStringNamed(REMARKS, element)).ignoreIfNull()
                 .notExceedingLengthOf(500);
+        v.reset().parameter(BROKER_CODE).value(this.fromApiJsonHelper.extractStringNamed(BROKER_CODE, element)).ignoreIfNull()
+                .notExceedingLengthOf(20);
+        final String confirmationMode = this.fromApiJsonHelper.extractStringNamed(InvestmentApiConstants.CONFIRMATION_MODE, element);
+        if (StringUtils.isNotBlank(confirmationMode)) {
+            v.reset().parameter(InvestmentApiConstants.CONFIRMATION_MODE).value(confirmationMode)
+                    .isOneOfTheseValues(InvestmentApiConstants.CONFIRMATION_MODES.toArray());
+        }
+        throwIfAny(errors);
+    }
+
+    /** Settle may record the counterparty's confirmation of the deal: the date it was received and its reference. */
+    public void validateForSettle(final String json) {
+        if (StringUtils.isBlank(json)) {
+            return;
+        }
+        final JsonElement element = parse(json, SETTLE_PARAMS);
+        final List<ApiParameterError> errors = new ArrayList<>();
+        final DataValidatorBuilder v = new DataValidatorBuilder(errors).resource(RESOURCE);
+        // A malformed date fails here; the dates it may take are checked against the deal.
+        this.fromApiJsonHelper.extractLocalDateNamed(InvestmentApiConstants.CONFIRMATION_RECEIVED_ON, element);
+        v.reset().parameter(InvestmentApiConstants.CONFIRMATION_REF)
+                .value(this.fromApiJsonHelper.extractStringNamed(InvestmentApiConstants.CONFIRMATION_REF, element)).ignoreIfNull()
+                .notExceedingLengthOf(100);
         throwIfAny(errors);
     }
 

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/service/InvestmentDealSlipService.java

@@ -0,0 +1,254 @@
+/**
+ * Licensed to the Apache Software Foundation (ASF) under one
+ * or more contributor license agreements. See the NOTICE file
+ * distributed with this work for additional information
+ * regarding copyright ownership. The ASF licenses this file
+ * to you under the Apache License, Version 2.0 (the
+ * "License"); you may not use this file except in compliance
+ * with the License. You may obtain a copy of the License at
+ *
+ * http://www.apache.org/licenses/LICENSE-2.0
+ *
+ * Unless required by applicable law or agreed to in writing,
+ * software distributed under the License is distributed on an
+ * "AS IS" BASIS, WITHOUT WARRANTIES OR CONDITIONS OF ANY
+ * KIND, either express or implied. See the License for the
+ * specific language governing permissions and limitations
+ * under the License.
+ */
+package org.apache.fineract.portfolio.investment.service;
+
+import com.google.gson.JsonElement;
+import com.google.gson.JsonObject;
+import com.google.gson.JsonParser;
+import java.math.BigDecimal;
+import java.time.LocalDate;
+import java.time.OffsetDateTime;
+import java.time.format.DateTimeFormatter;
+import java.util.ArrayList;
+import java.util.Collection;
+import java.util.Comparator;
+import java.util.HashMap;
+import java.util.List;
+import java.util.Map;
+import java.util.stream.Collectors;
+import lombok.RequiredArgsConstructor;
+import org.apache.commons.lang3.StringUtils;
+import org.apache.fineract.infrastructure.core.service.DateUtils;
+import org.apache.fineract.portfolio.investment.api.InvestmentApiConstants;
+import org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApiConstants;
+import org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants;
+import org.apache.fineract.portfolio.investment.data.InvestmentDealSlipData;
+import org.apache.fineract.portfolio.investment.domain.InvestmentPurchase;
+import org.apache.fineract.portfolio.investment.domain.InvestmentPurchaseRepository;
+import org.apache.fineract.portfolio.investment.domain.InvestmentSale;
+import org.apache.fineract.portfolio.investment.domain.InvestmentSaleRepository;
+import org.springframework.jdbc.core.JdbcTemplate;
+import org.springframework.stereotype.Service;
+import org.springframework.transaction.annotation.Transactional;
+
+/**
+ * Deal slips and the deal slip register: every purchase and every sale, refund, redemption and switch in serial order,
+ * dropped ones included as cancelled, with who entered, approved, settled or cancelled each (from the maker-checker
+ * record of its commands).
+ */
+@Service
+@RequiredArgsConstructor
+@Transactional(readOnly = true)
+public class InvestmentDealSlipService {
+
+    private static final DateTimeFormatter DATE = DateTimeFormatter.ofPattern("dd-MM-yyyy");
+    private static final DateTimeFormatter DATE_TIME = DateTimeFormatter.ofPattern("dd-MM-yyyy HH:mm");
+    private static final String PURCHASE = InvestmentPurchaseApiConstants.ENTITY;
+    private static final String SALE = InvestmentSaleApiConstants.ENTITY;
+    /** Command processed (not awaiting approval, rejected or failed). */
+    private static final int PROCESSED = 1;
+
+    private final InvestmentPurchaseRepository purchaseRepository;
+    private final InvestmentSaleRepository saleRepository;
+    private final JdbcTemplate jdbcTemplate;
+
+    /** Who made (and who approved) one command on a deal. */
+    private record Action(String maker, String madeOn, String checker, String checkedOn) {
+    }
+
+    /** Slips of deals dated from {@code from} to {@code to}, in slip number order. */
+    public List<InvestmentDealSlipData> register(final LocalDate from, final LocalDate to) {
+        return slips(this.purchaseRepository.findByDealDateBetween(from, to),
+                this.saleRepository.findBySaleNoNotNullAndDealDateBetween(from, to));
+    }
+
+    /** One slip by its number: a purchase deal number or a sale number; empty when there is none. */
+    public List<InvestmentDealSlipData> slip(final String slipNo) {
+        final String no = slipNo.trim();
+        return slips(this.purchaseRepository.findByDealNo(no).stream().toList(), this.saleRepository.findBySaleNo(no).stream().toList());
+    }
+
+    private List<InvestmentDealSlipData> slips(final List<InvestmentPurchase> purchases, final List<InvestmentSale> sales) {
+        final Map<String, Action> actions = actions(purchases.stream().map(InvestmentPurchase::getId).toList(),
+                sales.stream().map(InvestmentSale::getId).toList());
+        final List<InvestmentDealSlipData> slips = new ArrayList<>();
+        purchases.forEach(p -> slips.add(purchaseSlip(p, actions)));
+        sales.forEach(s -> slips.add(saleSlip(s, actions)));
+        slips.sort(Comparator.comparing(InvestmentDealSlipData::getSlipNo));
+        return slips;
+    }
+
+    private static InvestmentDealSlipData purchaseSlip(final InvestmentPurchase p, final Map<String, Action> actions) {
+        final JsonObject other = otherDetails(p.getOtherDetails());
+        final String brokerCode = text(other, "brokerCode");
+        // A purchase opened by a mutual fund switch has no CREATE of its own: the switch made it.
+        final Action entered = actions.getOrDefault(key(PURCHASE, "CREATE", p.getId()), actions.get(key(SALE, "SWITCH", p.getId())));
+        final Action settled = actions.getOrDefault(key(PURCHASE, "SETTLE", p.getId()), actions.get(key(SALE, "SWITCH", p.getId())));
+        final Action cancelled = actions.get(key(PURCHASE, "DELETE", p.getId()));
+        final String status = InvestmentPurchaseApiConstants.STATUS_DROPPED.equals(p.getStatus()) ? "CANCELLED"
+                : InvestmentPurchaseApiConstants.STATUS_PENDING_SETTLEMENT.equals(p.getStatus()) ? "PENDING_SETTLEMENT" : "SETTLED";
+        final InvestmentDealSlipData.InvestmentDealSlipDataBuilder b = InvestmentDealSlipData.builder().slipNo(p.getDealNo()).side("BUY")
+                .status(status).recordStatus(p.getStatus()).purchaseId(p.getId()).dealNo(p.getDealNo()).certNo(p.getCertNo())
+                .dealDate(format(p.getDealDate())).dealTime(p.getDealTime()).settlementType(p.getSettlementType())
+                .settlementDate(format(p.getSettlementDate())).partyCode(p.getParty().getPartyCode())
+                .counterparty(p.getParty().getPartyName()).bondType(p.getBondType()).scriptCode(p.getScript().getScriptCode())
+                .scriptDesc(p.getScript().getScriptDesc()).isin(p.getScript().getIsin()).category(p.getCategory()).units(p.getUnits())
+                .faceValue(p.getFaceValue()).price(p.getPurchaseRate()).consideration(p.getBookValue())
+                .accruedInterest(p.getAccruedInterest()).brokerage(p.getBrokerage())
+                .otherCharges(zero(p.getStampDuty()).add(zero(p.getOtherCharges()))).netAmount(p.getSettlementAmount())
+                .bankGlCode(p.getCrGlAccount().getGlCode()).bankGlName(p.getCrGlAccount().getName())
+                .dealMode(brokerCode == null ? "DIRECT" : "BROKER").brokerCode(brokerCode).tradeNo(text(other, "tradeNo"))
+                .orderNo(text(other, "orderNo")).confirmationMode(p.getConfirmationMode())
+                .confirmationReceivedOn(format(p.getConfirmationReceivedOn())).confirmationRef(p.getConfirmationRef())
+                .glTransactionId(p.getGlTransactionId());
+        return who(b, entered, settled, cancelled).build();
+    }
+
+    private static InvestmentDealSlipData saleSlip(final InvestmentSale s, final Map<String, Action> actions) {
+        final InvestmentPurchase p = s.getPurchase();
+        final String type = s.getSaleType();
+        final Action entered;
+        final Action settled;
+        if (InvestmentSaleApiConstants.TYPE_SWITCH.equals(type)) {
+            entered = actions.get(key(SALE, "SWITCH-OUT", s.getId()));
+            settled = entered;
+        } else if (InvestmentSaleApiConstants.TYPE_REDEEM.equals(type)) {
+            entered = actions.get(key(SALE, "REDEEM", s.getId()));
+            settled = entered;
+        } else {
+            entered = actions.get(key(SALE, "CREATE", s.getId()));
+            settled = actions.get(key(SALE, "SETTLE", s.getId()));
+        }
+        final Action cancelled = actions.get(key(SALE, "DELETE", s.getId()));
+        final String side = InvestmentSaleApiConstants.TYPE_SELL.equals(type)
+                ? InvestmentApiConstants.SHARE.equals(p.getBondType()) ? "REFUND" : "SELL"
+                : type;
+        final String status = InvestmentSaleApiConstants.STATUS_DROPPED.equals(s.getStatus()) ? "CANCELLED" : s.getStatus();
+        // A redemption is repaid by the issuer, not bought by a counterparty.
+        final String counterparty = s.getParty() != null ? s.getParty().getPartyName()
+                : InvestmentSaleApiConstants.TYPE_REDEEM.equals(type) ? "Issuer (redemption at maturity)" : null;
+        final InvestmentDealSlipData.InvestmentDealSlipDataBuilder b = InvestmentDealSlipData.builder().slipNo(s.getSaleNo()).side(side)
+                .status(status).recordStatus(s.getStatus()).purchaseId(p.getId()).saleId(s.getId()).dealNo(p.getDealNo())
+                .certNo(p.getCertNo()).dealDate(format(s.getDealDate())).dealTime(s.getDealTime())
+                .settlementType(s.getSettlementType()).settlementDate(format(s.getSettlementDate()))
+                .partyCode(s.getParty() == null ? null : s.getParty().getPartyCode()).counterparty(counterparty)
+                .bondType(p.getBondType()).scriptCode(p.getScript().getScriptCode()).scriptDesc(p.getScript().getScriptDesc())
+                .isin(p.getScript().getIsin()).category(p.getCategory()).units(s.getUnits()).faceValue(s.getFaceValue())
+                .price(s.getSaleRate()).consideration(s.getConsideration()).accruedInterest(s.getAccruedInterest())
+                .brokerage(s.getBrokerage()).otherCharges(BigDecimal.ZERO).netAmount(s.getNetAmount())
+                .bankGlCode(s.getBankGlAccount().getGlCode()).bankGlName(s.getBankGlAccount().getName())
+                .dealMode(StringUtils.isBlank(s.getBrokerCode()) ? "DIRECT" : "BROKER").brokerCode(s.getBrokerCode())
+                .confirmationMode(s.getConfirmationMode()).confirmationReceivedOn(format(s.getConfirmationReceivedOn()))
+                .confirmationRef(s.getConfirmationRef()).voucherNo(s.getVoucherNo()).glTransactionId(s.getGlTransactionId())
+                .remarks(s.getRemarks());
+        return who(b, entered, settled, cancelled).build();
+    }
+
+    private static InvestmentDealSlipData.InvestmentDealSlipDataBuilder who(final InvestmentDealSlipData.InvestmentDealSlipDataBuilder b,
+            final Action entered, final Action settled, final Action cancelled) {
+        if (entered != null) {
+            b.enteredBy(entered.maker()).enteredOn(entered.madeOn()).approvedBy(entered.checker()).approvedOn(entered.checkedOn());
+        }
+        if (settled != null) {
+            b.settledBy(settled.maker()).settledOn(settled.madeOn()).settleApprovedBy(settled.checker())
+                    .settleApprovedOn(settled.checkedOn());
+        }
+        if (cancelled != null) {
+            b.cancelledBy(cancelled.maker()).cancelledOn(cancelled.madeOn());
+        }
+        return b;
+    }
+
+    /**
+     * The processed commands on these deals, keyed entity|action|id. A switch is recorded against the deal it opens, with
+     * the switched-out sale as its sub-resource, so it is keyed both ways.
+     */
+    private Map<String, Action> actions(final Collection<Long> purchaseIds, final Collection<Long> saleIds) {
+        final Map<String, Action> actions = new HashMap<>();
+        if (purchaseIds.isEmpty() && saleIds.isEmpty()) {
+            return actions;
+        }
+        final String purchases = ids(purchaseIds);
+        final String sales = ids(saleIds);
+        final String sql = """
+                SELECT c.entity_name, c.action_name, c.resource_id, c.subresource_id, c.made_on_date_utc, c.checked_on_date_utc,
+                       mk.username AS maker, ck.username AS checker
+                  FROM m_portfolio_command_source c
+                  LEFT JOIN m_appuser mk ON mk.id = c.maker_id
+                  LEFT JOIN m_appuser ck ON ck.id = c.checker_id
+                 WHERE c.status = ?
+                   AND ((c.entity_name = 'INVESTMENTPURCHASE' AND c.resource_id IN (%1$s))
+                     OR (c.entity_name = 'INVESTMENTSALE' AND (c.resource_id IN (%2$s) OR c.resource_id IN (%1$s)
+                                                                OR c.subresource_id IN (%2$s))))
+                 ORDER BY c.id
+                """.formatted(purchases, sales);
+        this.jdbcTemplate.query(sql, rs -> {
+            final String entity = rs.getString("entity_name");
+            final String action = rs.getString("action_name");
+            final long resourceId = rs.getLong("resource_id");
+            final long subResourceId = rs.getLong("subresource_id");
+            final Action a = new Action(rs.getString("maker"), dateTime(rs.getObject("made_on_date_utc", OffsetDateTime.class)),
+                    rs.getString("checker"), dateTime(rs.getObject("checked_on_date_utc", OffsetDateTime.class)));
+            // Later rows (a retry after a rejection) replace earlier ones.
+            actions.put(key(entity, action, resourceId), a);
+            if (SALE.equals(entity) && "SWITCH".equals(action)) {
+                actions.put(key(SALE, "SWITCH-OUT", subResourceId), a);
+            }
+        }, PROCESSED);
+        return actions;
+    }
+
+    /** Ids for an IN list; never empty, so the SQL stays valid. */
+    private static String ids(final Collection<Long> ids) {
+        return ids.isEmpty() ? "-1" : ids.stream().map(String::valueOf).collect(Collectors.joining(","));
+    }
+
+    private static String key(final String entity, final String action, final long id) {
+        return entity + "|" + action + "|" + id;
+    }
+
+    private static JsonObject otherDetails(final String json) {
+        if (StringUtils.isBlank(json)) {
+            return new JsonObject();
+        }
+        try {
+            final JsonElement e = JsonParser.parseString(json);
+            return e.isJsonObject() ? e.getAsJsonObject() : new JsonObject();
+        } catch (final RuntimeException e) {
+            return new JsonObject();
+        }
+    }
+
+    private static String text(final JsonObject o, final String name) {
+        final JsonElement e = o.get(name);
+        return e == null || e.isJsonNull() ? null : StringUtils.trimToNull(e.getAsString());
+    }
+
+    private static String dateTime(final OffsetDateTime at) {
+        return at == null ? null : at.atZoneSameInstant(DateUtils.getDateTimeZoneOfTenant()).format(DATE_TIME);
+    }
+
+    private static String format(final LocalDate date) {
+        return date == null ? null : date.format(DATE);
+    }
+
+    private static BigDecimal zero(final BigDecimal v) {
+        return v == null ? BigDecimal.ZERO : v;
+    }
+}

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/service/InvestmentFundSwitchService.java

@@ -166,6 +166,7 @@ public class InvestmentFundSwitchService {
 
         final InvestmentSale s = new InvestmentSale();
         s.setPurchase(p);
+        s.setSaleNo(InvestmentPurchaseWritePlatformServiceImpl.nextSaleNo(this.jdbcTemplate, switchDate));
         s.setSaleType(TYPE_SWITCH);
         s.setParty(p.getParty());
         s.setDealDate(switchDate);

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/service/InvestmentPurchaseWritePlatformServiceImpl.java

@@ -185,6 +185,8 @@ public class InvestmentPurchaseWritePlatformServiceImpl implements InvestmentPur
         p.setInvestmentGlAccount(script.getGlAccount());
         p.setCrGlAccount(postableAssetGl(command.longValueOfParameterNamed(CR_GL_ACCOUNT_ID)));
         p.setOtherDetails(otherDetails(command));
+        p.setConfirmationMode(
+                StringUtils.trimToNull(command.stringValueOfParameterNamedAllowingNull(InvestmentApiConstants.CONFIRMATION_MODE)));
         p.setStatus(STATUS_PENDING_SETTLEMENT);
 
         // Brokerage, stamp duty and other charges are expenses of the deal (Jitendra Sir): paid with the
@@ -250,11 +252,15 @@ public class InvestmentPurchaseWritePlatformServiceImpl implements InvestmentPur
     @Override
     @Transactional
     public CommandProcessingResult settlePurchase(final Long purchaseId, final JsonCommand command) {
+        this.validator.validateForSettle(command.json());
         final InvestmentPurchase p = this.purchaseRepository.findByIdWithLock(purchaseId)
                 .orElseThrow(() -> new InvestmentPurchaseNotFoundException(purchaseId));
         if (!STATUS_PENDING_SETTLEMENT.equals(p.getStatus())) {
             throw rule("settle.not.pending", "Deal " + p.getDealNo() + " is not pending settlement");
         }
+        p.setConfirmationReceivedOn(confirmationReceivedOn(command, p.getDealDate()));
+        p.setConfirmationRef(
+                StringUtils.trimToNull(command.stringValueOfParameterNamedAllowingNull(InvestmentApiConstants.CONFIRMATION_REF)));
         final LocalDate today = DateUtils.getBusinessLocalDate();
         if (p.getSettlementDate().isAfter(today)) {
             throw rule("settle.before.date", "Deal " + p.getDealNo() + " can be settled on or after its settlement date "
@@ -420,6 +426,19 @@ public class InvestmentPurchaseWritePlatformServiceImpl implements InvestmentPur
         return prefix + String.format("%06d", (max == null ? 0 : max) + 1);
     }
 
+    /**
+     * Deal slip number of a sale, redemption or switch: FY start year + FY end (2 digits) + "S" + 5-digit running number,
+     * e.g. 202627S00001, so sales are numbered apart from purchases.
+     */
+    static String nextSaleNo(final JdbcTemplate jdbcTemplate, final LocalDate dealDate) {
+        lockNumbering(jdbcTemplate, "m_investment_sale.sale_no");
+        final String prefix = dealNoPrefix(dealDate) + "S";
+        final Integer max = jdbcTemplate.queryForObject(
+                "SELECT MAX(CAST(SUBSTRING(sale_no FROM 8) AS INTEGER)) FROM m_investment_sale WHERE sale_no LIKE ?", Integer.class,
+                prefix + "%");
+        return prefix + String.format("%05d", (max == null ? 0 : max) + 1);
+    }
+
     /** Financial year (April–March) of the deal date: 2026-04-01 … 2027-03-31 → "202627". */
     static String dealNoPrefix(final LocalDate dealDate) {
         final int fyStart = dealDate.getMonthValue() >= 4 ? dealDate.getYear() : dealDate.getYear() - 1;
@@ -462,6 +481,29 @@ public class InvestmentPurchaseWritePlatformServiceImpl implements InvestmentPur
         return value == null ? BigDecimal.ZERO : value;
     }
 
+    /**
+     * Date the counterparty's confirmation of a deal reached the back office, given on Settle (optional): not before the
+     * deal date and not after today.
+     */
+    static LocalDate confirmationReceivedOn(final JsonCommand command, final LocalDate dealDate) {
+        final LocalDate on = command.parameterExists(InvestmentApiConstants.CONFIRMATION_RECEIVED_ON)
+                ? command.localDateValueOfParameterNamed(InvestmentApiConstants.CONFIRMATION_RECEIVED_ON)
+                : null;
+        if (on == null) {
+            return null;
+        }
+        final DateTimeFormatter ddMmYyyy = DateTimeFormatter.ofPattern("dd-MM-yyyy");
+        if (on.isBefore(dealDate)) {
+            throw new GeneralPlatformDomainRuleException("error.msg.investment.confirmation.before.deal",
+                    "The confirmation cannot be received before the deal date " + dealDate.format(ddMmYyyy));
+        }
+        if (on.isAfter(DateUtils.getBusinessLocalDate())) {
+            throw new GeneralPlatformDomainRuleException("error.msg.investment.confirmation.future",
+                    "The confirmation received date cannot be after today");
+        }
+        return on;
+    }
+
     private static GeneralPlatformDomainRuleException rule(final String code, final String message) {
         return new GeneralPlatformDomainRuleException("error.msg.investmentpurchase." + code, message);
     }

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/service/InvestmentSaleReadPlatformService.java

@@ -22,6 +22,7 @@ import java.math.BigDecimal;
 import java.time.LocalDate;
 import java.util.List;
 import lombok.RequiredArgsConstructor;
+import org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants;
 import org.apache.fineract.portfolio.investment.data.InvestmentSaleData;
 import org.apache.fineract.portfolio.investment.domain.InvestmentPurchase;
 import org.apache.fineract.portfolio.investment.domain.InvestmentPurchaseRepository;
@@ -40,9 +41,10 @@ public class InvestmentSaleReadPlatformService {
     private final InvestmentPurchaseRepository purchaseRepository;
     private final InvestmentSaleQuoter quoter;
 
-    /** Sales and redemptions, newest first — pending ones included. */
+    /** Sales and redemptions, newest first — pending ones included, dropped ones left out. */
     public List<InvestmentSaleData> retrieveAll() {
-        return this.saleRepository.findAll(Sort.by(Sort.Direction.DESC, "id")).stream().map(InvestmentSaleData::from).toList();
+        return this.saleRepository.findAll(Sort.by(Sort.Direction.DESC, "id")).stream()
+                .filter(s -> !InvestmentSaleApiConstants.STATUS_DROPPED.equals(s.getStatus())).map(InvestmentSaleData::from).toList();
     }
 
     /** What a sale would come to, before it is saved. */

fineract-provider/src/main/java/org/apache/fineract/portfolio/investment/service/InvestmentSaleWritePlatformServiceImpl.java

@@ -24,6 +24,7 @@ import static org.apache.fineract.portfolio.investment.api.InvestmentPurchaseApi
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.AMOUNT;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.BANK_GL_ACCOUNT_ID;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.BROKERAGE;
+import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.BROKER_CODE;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.DEAL_DATE;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.DEAL_TIME;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.LOSS_ON_SALE_GL_CODE;
@@ -35,6 +36,7 @@ import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiCons
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.SALE_RATE;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.SANCTION_AUTHORITY;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.SETTLEMENT_TYPE;
+import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.STATUS_DROPPED;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.STATUS_PENDING_SETTLEMENT;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.STATUS_SETTLED;
 import static org.apache.fineract.portfolio.investment.api.InvestmentSaleApiConstants.TYPE_WRITEOFF;
@@ -45,6 +47,7 @@ import java.math.RoundingMode;
 import java.time.LocalDate;
 import java.time.format.DateTimeFormatter;
 import lombok.RequiredArgsConstructor;
+import org.apache.commons.lang3.StringUtils;
 import org.apache.fineract.infrastructure.core.api.JsonCommand;
 import org.apache.fineract.infrastructure.core.data.CommandProcessingResult;
 import org.apache.fineract.infrastructure.core.data.CommandProcessingResultBuilder;
@@ -60,6 +63,7 @@ import org.apache.fineract.portfolio.investment.domain.InvestmentSaleRepository;
 import org.apache.fineract.portfolio.investment.exception.InvestmentPartyNotFoundException;
 import org.apache.fineract.portfolio.investment.exception.InvestmentPurchaseNotFoundException;
 import org.apache.fineract.portfolio.investment.serialization.InvestmentSaleCommandFromApiJsonDeserializer;
+import org.springframework.jdbc.core.JdbcTemplate;
 import org.springframework.stereotype.Service;
 import org.springframework.transaction.annotation.Transactional;
 
@@ -86,13 +90,19 @@ public class InvestmentSaleWritePlatformServiceImpl implements InvestmentSaleWri
     private final InvestmentPurchaseRepository purchaseRepository;
     private final InvestmentPartyRepository partyRepository;
     private final InvestmentJournalPoster journalPoster;
+    private final JdbcTemplate jdbcTemplate;
 
     @Override
     @Transactional
     public CommandProcessingResult createSale(final JsonCommand command) {
         this.validator.validateForSell(command.json());
         final InvestmentPurchase p = purchase(command.longValueOfParameterNamed(PURCHASE_ID));
-        final InvestmentSale sale = this.saleRepository.saveAndFlush(this.quoter.quoteSale(p, sellRequest(command), null, false));
+        final InvestmentSale quoted = this.quoter.quoteSale(p, sellRequest(command), null, false);
+        quoted.setSaleNo(InvestmentPurchaseWritePlatformServiceImpl.nextSaleNo(this.jdbcTemplate, quoted.getDealDate()));
+        quoted.setBrokerCode(StringUtils.trimToNull(command.stringValueOfParameterNamedAllowingNull(BROKER_CODE)));
+        quoted.setConfirmationMode(
+                StringUtils.trimToNull(command.stringValueOfParameterNamedAllowingNull(InvestmentApiConstants.CONFIRMATION_MODE)));
+        final InvestmentSale sale = this.saleRepository.saveAndFlush(quoted);
         return new CommandProcessingResultBuilder().withCommandId(command.commandId()).withEntityId(sale.getId())
                 .withSubEntityId(p.getId()).withResourceIdAsString(p.getDealNo()).build();
     }
@@ -100,6 +110,7 @@ public class InvestmentSaleWritePlatformServiceImpl implements InvestmentSaleWri
     @Override
     @Transactional
     public CommandProcessingResult settleSale(final Long saleId, final JsonCommand command) {
+        this.validator.validateForSettle(command.json());
         // Lock the deal before the sale, as every other posting on the deal does, so two settlements cannot interleave.
         final InvestmentPurchase p = purchase(this.saleRepository.findPurchaseIdBySaleId(saleId)
                 .orElseThrow(() -> InvestmentSaleQuoter.rule("sale.not.found", "Investment sale " + saleId + " does not exist")));
@@ -129,6 +140,10 @@ public class InvestmentSaleWritePlatformServiceImpl implements InvestmentSaleWri
                 lines);
 
         copyFigures(s, pending);
+        pending.setConfirmationReceivedOn(
+                InvestmentPurchaseWritePlatformServiceImpl.confirmationReceivedOn(command, pending.getDealDate()));
+        pending.setConfirmationRef(
+                StringUtils.trimToNull(command.stringValueOfParameterNamedAllowingNull(InvestmentApiConstants.CONFIRMATION_REF)));
         pending.setStatus(STATUS_SETTLED);
         pending.setGlTransactionId(posted.getTransactionId());
         pending.setVoucherNo(voucherNo(posted));
@@ -148,13 +163,18 @@ public class InvestmentSaleWritePlatformServiceImpl implements InvestmentSaleWri
     @Transactional
     public CommandProcessingResult deleteSale(final Long saleId) {
         final InvestmentSale s = sale(saleId);
+        if (STATUS_DROPPED.equals(s.getStatus())) {
+            throw InvestmentSaleQuoter.rule("sale.dropped", "This sale is already dropped");
+        }
         if (!STATUS_PENDING_SETTLEMENT.equals(s.getStatus())) {
             throw InvestmentSaleQuoter.rule("sale.settled", "This sale is already settled and posted to GL, so it cannot be dropped");
         }
         final Long purchaseId = s.getPurchase().getId();
-        this.saleRepository.delete(s);
+        // Kept as DROPPED rather than deleted, so its sale number stays accounted for (shown as cancelled on the register).
-        this.saleRepository.flush();
+        s.setStatus(STATUS_DROPPED);
-        return new CommandProcessingResultBuilder().withEntityId(saleId).withSubEntityId(purchaseId).build();
+        this.saleRepository.saveAndFlush(s);
+        return new CommandProcessingResultBuilder().withEntityId(saleId).withSubEntityId(purchaseId).withResourceIdAsString(s.getSaleNo())
+                .build();
     }
 
     @Override
@@ -175,6 +195,7 @@ public class InvestmentSaleWritePlatformServiceImpl implements InvestmentSaleWri
                         + p.getScript().getScriptDesc(),
                 lines);
 
+        s.setSaleNo(InvestmentPurchaseWritePlatformServiceImpl.nextSaleNo(this.jdbcTemplate, s.getDealDate()));
         s.setGlTransactionId(posted.getTransactionId());
         s.setVoucherNo(voucherNo(posted));
         s.setSettledOnDate(DateUtils.getBusinessLocalDate());

fineract-provider/src/main/resources/db/changelog/tenant/final-changelog-tenant.xml

@@ -204,4 +204,5 @@
     <include file="parts/0610_investment_valuation_and_fund_switch.xml" relativeToChangelogFile="true"/>
     <include file="parts/0611_investment_maker_checker.xml" relativeToChangelogFile="true"/>
     <include file="parts/0612_investment_share.xml" relativeToChangelogFile="true"/>
+    <include file="parts/0613_investment_deal_slip.xml" relativeToChangelogFile="true"/>
 </databaseChangeLog>

fineract-provider/src/main/resources/db/changelog/tenant/parts/0613_investment_deal_slip.xml

@@ -0,0 +1,74 @@
+<?xml version="1.1" encoding="UTF-8" standalone="no"?>
+<!--
+
+    Licensed to the Apache Software Foundation (ASF) under one
+    or more contributor license agreements. See the NOTICE file
+    distributed with this work for additional information
+    regarding copyright ownership. The ASF licenses this file
+    to you under the Apache License, Version 2.0 (the
+    "License"); you may not use this file except in compliance
+    with the License. You may obtain a copy of the License at
+
+    http://www.apache.org/licenses/LICENSE-2.0
+
+    Unless required by applicable law or agreed to in writing,
+    software distributed under the License is distributed on an
+    "AS IS" BASIS, WITHOUT WARRANTIES OR CONDITIONS OF ANY
+    KIND, either express or implied. See the License for the
+    specific language governing permissions and limitations
+    under the License.
+
+-->
+<databaseChangeLog xmlns="http://www.liquibase.org/xml/ns/dbchangelog"
+                   xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
+                   xsi:schemaLocation="http://www.liquibase.org/xml/ns/dbchangelog http://www.liquibase.org/xml/ns/dbchangelog/dbchangelog-4.9.xsd">
+    <!--
+        Deal slips: every deal is serially numbered and carries the confirmation mode to the counterparty, the broker of a
+        broker deal, and the counterparty's confirmation the back office records on settlement. A purchase already has its
+        deal number; a sale, redemption or switch now gets its own sale number (financial year, "S", running number, e.g.
+        202627S00001). Write-offs and amortisation are not deals and get none. Existing sales are numbered in the order
+        they were entered within the financial year of their deal date.
+    -->
+    <changeSet author="cbs-anshul" id="0613-1-investment-purchase-confirmation">
+        <preConditions onFail="MARK_RAN">
+            <not><columnExists tableName="m_investment_purchase" columnName="confirmation_mode"/></not>
+        </preConditions>
+        <addColumn tableName="m_investment_purchase">
+            <column name="confirmation_mode" type="VARCHAR(10)"/>
+            <column name="confirmation_received_on" type="DATE"/>
+            <column name="confirmation_ref" type="VARCHAR(100)"/>
+        </addColumn>
+    </changeSet>
+    <changeSet author="cbs-anshul" id="0613-2-investment-sale-deal-slip">
+        <preConditions onFail="MARK_RAN">
+            <not><columnExists tableName="m_investment_sale" columnName="sale_no"/></not>
+        </preConditions>
+        <addColumn tableName="m_investment_sale">
+            <column name="sale_no" type="VARCHAR(20)"/>
+            <column name="broker_code" type="VARCHAR(20)"/>
+            <column name="confirmation_mode" type="VARCHAR(10)"/>
+            <column name="confirmation_received_on" type="DATE"/>
+            <column name="confirmation_ref" type="VARCHAR(100)"/>
+        </addColumn>
+    </changeSet>
+    <changeSet author="cbs-anshul" id="0613-3-investment-sale-number-existing">
+        <sql>
+            UPDATE m_investment_sale s
+               SET sale_no = n.sale_no
+              FROM (SELECT b.id, b.fy || 'S' || LPAD(CAST(ROW_NUMBER() OVER (PARTITION BY b.fy ORDER BY b.id) AS VARCHAR), 5, '0') AS sale_no
+                      FROM (SELECT a.id, CAST(a.fy_start AS VARCHAR) || LPAD(CAST(MOD(a.fy_start + 1, 100) AS VARCHAR), 2, '0') AS fy
+                              FROM (SELECT id,
+                                           CASE WHEN EXTRACT(MONTH FROM deal_date) >= 4 THEN CAST(EXTRACT(YEAR FROM deal_date) AS INTEGER)
+                                                ELSE CAST(EXTRACT(YEAR FROM deal_date) AS INTEGER) - 1 END AS fy_start
+                                      FROM m_investment_sale
+                                     WHERE sale_type IN ('SELL', 'REDEEM', 'SWITCH') AND sale_no IS NULL) a) b) n
+             WHERE s.id = n.id
+        </sql>
+    </changeSet>
+    <changeSet author="cbs-anshul" id="0613-4-investment-sale-number-unique">
+        <preConditions onFail="MARK_RAN">
+            <not><indexExists tableName="m_investment_sale" indexName="uq_investment_sale_no"/></not>
+        </preConditions>
+        <addUniqueConstraint tableName="m_investment_sale" columnNames="sale_no" constraintName="uq_investment_sale_no"/>
+    </changeSet>
+</databaseChangeLog>