yuxuanhui
674 lines
28 KiB
Python
674 lines
28 KiB
Python
"""Transactional research interface. Callers own authorization and commit boundaries."""
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from collections import Counter, defaultdict
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from uuid import uuid4
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from fastapi import HTTPException
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from fastapi.encoders import jsonable_encoder
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from sqlalchemy import func, select, update
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from ..models import (
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Account,
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BacktestConfig,
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BacktestDraft,
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BacktestEvent,
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BacktestItem,
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BacktestPreview,
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BacktestResult,
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BacktestRun,
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SimulationAttempt,
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now,
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)
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from .contracts import Candidate, DraftInput, PreviewInput, Source, fingerprint, group_key
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def uid():
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return str(uuid4())
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async def event(db, run, kind, payload):
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"""Append a run-local cursor under the run row lock, in the result's transaction."""
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run.event_seq += 1
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run.updated_at = now()
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db.add(BacktestEvent(run_id=run.id, seq=run.event_seq, kind=kind, payload=payload))
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async def locked_run(db, run_id):
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run = await db.scalar(select(BacktestRun).where(BacktestRun.id == run_id).with_for_update())
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if not run:
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raise HTTPException(404, "回测运行不存在")
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return run
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async def refresh_status(db, run):
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await db.flush()
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states = list(await db.scalars(select(SimulationAttempt.state).where(SimulationAttempt.run_id == run.id)))
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if any(s in ("needs_review", "collection_failed") for s in states):
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run.status = "needs_review"
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elif all(s in ("completed", "failed", "skipped") for s in states):
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run.status = (
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"stopped"
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if run.control == "stopped"
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else "completed_with_errors"
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if "failed" in states
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else "completed"
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)
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elif run.control == "paused":
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run.status = "paused"
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elif run.control == "stopped":
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run.status = "stopping"
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elif any(s in ("submitting", "submitted", "collecting") for s in states):
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run.status = "running"
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else:
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run.status = "queued"
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class Backtests:
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def __init__(self, db, ai_context=None):
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self.db = db
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self.ai_context = ai_context or {}
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async def config(self):
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row = await self.db.get(BacktestConfig, 1)
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return jsonable_encoder(
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{
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k: getattr(row, k)
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for k in ("concurrency", "batch_size", "version", "blocked_reason", "blocked_until")
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}
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)
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async def configure(self, body):
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result = await self.db.execute(
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update(BacktestConfig)
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.where(BacktestConfig.id == 1, BacktestConfig.version == body.version)
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.values(
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concurrency=body.concurrency,
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batch_size=body.batch_size,
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version=BacktestConfig.version + 1,
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)
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)
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if result.rowcount != 1:
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raise HTTPException(409, "调度配置已变化，请刷新后重试")
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return await self.config()
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async def capabilities(self):
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return {
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"alpha_types": ["REGULAR", "SUPER"],
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"languages": ["FASTEXPR"],
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"instrument_types": ["EQUITY"],
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"settings_schema": Candidate.model_json_schema(),
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"scheduler": await self.config(),
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"max_candidates": 10000,
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"remote_cancel": False,
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"automatic_history_reuse": False,
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"confirmation": "每个固定运行确认一次；启动后返回 ID，不循环等待",
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"mapping": "完整输入匹配；证据不足待核对，不按 children 顺序匹配",
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"limits": "并发和批大小为本地配置，并非平台可用额度；账户外提交不在预算内",
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}
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async def bind_preparations(self, body):
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from ..preparations.service import Preparations
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from ..research.expressions import analyze
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if not body.preparation_refs and not body.input_ids:
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return
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if any(c.alpha_type == "SUPER" for c in body.candidates):
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raise HTTPException(422, "SUPER 组件快照不能使用字段数据准备集合")
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await Preparations(self.db).bind(body)
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snapshots = [await Preparations(self.db).snapshot(i) for i in body.input_ids]
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for candidate in body.candidates:
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scope = dict(instrument_type=candidate.settings.instrumentType, region=candidate.settings.region,
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universe=candidate.settings.universe, delay=candidate.settings.delay)
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if any(s["scope"] != scope for s in snapshots):
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raise HTTPException(422, "数据准备集合与回测范围不一致")
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fields = {}
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for snapshot in snapshots:
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for field, kind in snapshot["field_types"].items():
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if field in fields and fields[field] != kind:
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raise HTTPException(422, "输入字段类型冲突")
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fields[field] = kind
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validation = analyze(candidate.expression, fields)
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if validation["syntax"] or validation["types"]:
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raise HTTPException(422, "；".join(validation["syntax"] + validation["types"]))
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body.source.input_snapshot_ids = body.input_ids
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body.source.input_snapshot_id = body.input_ids[0] if len(body.input_ids) == 1 else None
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async def save_draft(self, body, draft_id=None):
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await self.bind_preparations(body)
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data = body.model_dump(mode="json", exclude={"version", "preparation_refs", "input_ids"})
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if draft_id:
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changed = await self.db.execute(
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update(BacktestDraft)
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.where(BacktestDraft.id == draft_id, BacktestDraft.version == body.version)
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.values(
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**data,
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version=BacktestDraft.version + 1,
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updated_at=now(),
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)
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)
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if changed.rowcount != 1:
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raise HTTPException(409, "草稿已变化或不存在；保留当前编辑并重新载入")
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else:
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draft_id = uid()
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self.db.add(BacktestDraft(id=draft_id, **data))
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await self.db.flush()
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return await self.draft(draft_id)
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async def drafts(self, limit=25, offset=0, q="", sort="updated_at", direction="desc"):
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query = select(BacktestDraft)
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if q:
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query = query.where(BacktestDraft.name.contains(q, autoescape=True))
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column = {"name": BacktestDraft.name, "updated_at": BacktestDraft.updated_at}[sort]
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order = column.asc() if direction == "asc" else column.desc()
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rows = (
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await self.db.scalars(
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query
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.order_by(order, BacktestDraft.id)
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.limit(limit)
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.offset(offset)
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)
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).all()
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return {
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"items": [
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jsonable_encoder(
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{
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"id": r.id,
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"version": r.version,
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"name": r.name,
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"total": len(r.candidates),
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"updated_at": r.updated_at,
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}
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)
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for r in rows
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],
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"total": await self.db.scalar(select(func.count()).select_from(query.subquery())),
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"limit": limit,
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"offset": offset,
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}
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async def draft(self, draft_id):
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row = await self.db.get(BacktestDraft, draft_id)
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if not row:
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raise HTTPException(404, "候选草稿不存在")
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return jsonable_encoder(
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{k: getattr(row, k) for k in ("id", "version", "name", "source", "candidates", "updated_at")}
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)
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async def preview(self, body, *, preserve_source=False):
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"""Fix inputs; new chatbox candidates inherit trusted generating-run provenance.
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Existing draft references and server-side subsets/reruns retain their
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producer. ai_context separately identifies whoever starts the execution.
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"""
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if body.inline:
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await self.bind_preparations(body.inline)
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data = body.inline.model_dump(mode="json")
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if self.ai_context and not preserve_source:
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data["source"] = {
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**data["source"],
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"kind": "chatbox",
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"reference": self.ai_context["conversation_id"],
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"research_id": self.ai_context["ai_run_id"],
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"parent_run_id": None,
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}
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else:
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draft = await self.db.scalar(
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select(BacktestDraft).where(BacktestDraft.id == body.draft_id).with_for_update()
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)
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if not draft or draft.version != body.draft_version:
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raise HTTPException(409, "候选草稿已变化，请重新准备预览")
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candidates = draft.candidates
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if body.selection is not None:
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selection = set(body.selection)
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candidates = [c for c in candidates if c["client_item_id"] in selection]
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if len(candidates) != len(selection):
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raise HTTPException(422, "选择包含不属于当前草稿的候选")
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data = {"name": draft.name, "source": draft.source, "candidates": candidates}
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from ..superalpha.service import validate_source
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await validate_source(self.db, data["source"], data["candidates"])
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candidates = DraftInput.model_validate(data).model_dump(mode="json")["candidates"]
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config = await self.db.get(BacktestConfig, 1)
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groups = defaultdict(list)
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hashes = []
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for i, c in enumerate(candidates):
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groups[group_key(c)].append(i)
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hashes.append(fingerprint(Candidate.model_validate(c).platform_input()))
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# Query hashes in bounded chunks, including SQLite's bind-parameter limit.
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existing = set()
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for index in range(0, len(hashes), 400):
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existing.update(
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await self.db.scalars(
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select(BacktestItem.fingerprint)
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.where(BacktestItem.fingerprint.in_(hashes[index : index + 400]))
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.distinct()
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)
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)
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seen, duplicates = set(), []
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for c, h in zip(candidates, hashes):
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if h in seen or h in existing:
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duplicates.append(
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{
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"client_item_id": c["client_item_id"],
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"historical": h in existing,
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"within_preview": h in seen,
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}
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)
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seen.add(h)
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batches = []
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for indices in groups.values():
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local_batches = []
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for index in indices:
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if candidates[index]["alpha_type"] == "SUPER":
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batches.append([index])
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continue
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batch = next(
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(
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b
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for b in local_batches
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if len(b) < config.batch_size and all(hashes[i] != hashes[index] for i in b)
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),
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None,
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)
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if batch is None:
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batch = []
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local_batches.append(batch)
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batch.append(index)
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batches.extend(local_batches)
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row = BacktestPreview(
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id=uid(),
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name=data["name"],
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source=data["source"],
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candidates=candidates,
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batches=batches,
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batch_size=config.batch_size,
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digest=fingerprint({"candidates": candidates, "source": data["source"]}),
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duplicates=duplicates,
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ai_context=self.ai_context,
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)
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self.db.add(row)
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await self.db.flush()
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return await self.get_preview(row.id)
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async def get_preview(self, preview_id, limit=25, offset=0):
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row = await self.db.get(BacktestPreview, preview_id)
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if not row:
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raise HTTPException(404, "回测预览不存在")
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return jsonable_encoder(
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{
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"preview_id": row.id,
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"version": row.version,
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"name": row.name,
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"source": row.source,
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"digest": row.digest,
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"total": len(row.candidates),
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"batch_count": len(row.batches),
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"batch_size": row.batch_size,
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"duplicate_count": len(row.duplicates),
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"duplicates": row.duplicates[offset : offset + limit],
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"items": row.candidates[offset : offset + limit],
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"limit": limit,
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"offset": offset,
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"has_more": offset + limit < len(row.candidates),
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"created_at": row.created_at,
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}
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)
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async def start(self, body):
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# One account row serializes all starts; unique keys remain the final DB invariant.
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account = await self.db.scalar(select(Account).where(Account.id == 1).with_for_update())
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previous = await self.db.scalar(
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select(BacktestRun).where(BacktestRun.idempotency_key == body.idempotency_key)
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)
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if previous:
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if previous.preview_id != body.preview_id or body.version != 1:
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raise HTTPException(409, "幂等键已用于另一份预览")
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return await self.run(previous.id)
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preview = await self.db.get(BacktestPreview, body.preview_id)
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if not preview or preview.version != body.version:
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raise HTTPException(409, "预览不存在或版本不匹配")
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previous = await self.db.scalar(select(BacktestRun).where(BacktestRun.preview_id == preview.id))
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if previous:
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return await self.run(previous.id)
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if not account or not account.wq_user_id or account.connection_status != "connected":
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raise HTTPException(409, "请先连接并确认 WorldQuant 账户身份")
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run = BacktestRun(
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id=uid(),
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preview_id=preview.id,
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idempotency_key=body.idempotency_key,
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name=preview.name,
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source=preview.source,
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total=len(preview.candidates),
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batch_size=preview.batch_size,
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ai_context=self.ai_context or preview.ai_context,
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event_seq=0,
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)
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self.db.add(run)
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await self.db.flush()
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for n, indices in enumerate(preview.batches):
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candidates = [Candidate.model_validate(preview.candidates[i]) for i in indices]
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attempt = SimulationAttempt(
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id=uid(), run_id=run.id, ordinal=n, payload=[c.platform_input() for c in candidates]
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)
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self.db.add(attempt)
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await self.db.flush()
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for i, c in zip(indices, candidates):
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self.db.add(
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BacktestItem(
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id=uid(),
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run_id=run.id,
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attempt_id=attempt.id,
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ordinal=i,
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client_item_id=c.client_item_id,
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expression=c.expression,
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alpha_type=c.alpha_type, selection=c.selection, combo=c.combo,
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settings=c.settings.model_dump(),
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fingerprint=fingerprint(c.platform_input()),
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)
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)
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await event(self.db, run, "created", {"total": run.total, "batch_count": len(preview.batches)})
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await self.db.flush()
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return await self.run(run.id)
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async def runs(self, limit=25, offset=0, source=None, reference=None, research_id=None, q="", sort="created_at", direction="desc", alpha_type=None):
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query = select(BacktestRun)
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if alpha_type:
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query = query.where(BacktestRun.id.in_(select(BacktestItem.run_id).where(BacktestItem.alpha_type == alpha_type)))
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if q:
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query = query.where(BacktestRun.name.contains(q, autoescape=True))
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column = {"name": BacktestRun.name, "created_at": BacktestRun.created_at}[sort]
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order = column.asc() if direction == "asc" else column.desc()
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for key, value in (("kind", source), ("reference", reference), ("research_id", research_id)):
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if value:
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query = query.where(BacktestRun.source[key].as_string() == value)
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total = await self.db.scalar(select(func.count()).select_from(query.subquery()))
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rows = (
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await self.db.scalars(
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query.order_by(order, BacktestRun.id).limit(limit).offset(offset)
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)
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).all()
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return {
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"items": [await self.run(r.id) for r in rows],
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"total": total,
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"limit": limit,
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"offset": offset,
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}
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async def sources(self):
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kinds = await self.db.scalars(select(BacktestRun.source["kind"].as_string()).distinct())
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return sorted({kind for kind in kinds if kind} | {"chatbox", "manual"})
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async def run(self, run_id):
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row = await self.db.get(BacktestRun, run_id)
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if not row:
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raise HTTPException(404, "回测运行不存在")
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groups = (
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await self.db.execute(
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select(
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BacktestItem.platform_status,
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BacktestItem.collection_status,
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BacktestItem.persistence_status,
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func.count(),
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)
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.where(BacktestItem.run_id == run_id)
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.group_by(
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BacktestItem.platform_status,
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BacktestItem.collection_status,
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BacktestItem.persistence_status,
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)
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)
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).all()
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counts = {"platform": Counter(), "collection": Counter(), "persistence": Counter()}
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for p, c, s, n in groups:
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for key, value in (("platform", p), ("collection", c), ("persistence", s)):
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counts[key][value] += n
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return jsonable_encoder(
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{
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"backtest_run_id": row.id,
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**{
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k: getattr(row, k)
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for k in (
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"preview_id",
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"name",
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"source",
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"ai_context",
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"control",
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"status",
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"version",
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"total",
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"batch_size",
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"created_at",
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"updated_at",
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)
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},
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"counts": counts,
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"cursor": row.event_seq,
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"scheduler": await self.config(),
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}
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)
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async def results(self, run_id, limit=25, offset=0):
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run = await self.run(run_id)
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rows = (
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await self.db.execute(
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select(BacktestItem, BacktestResult)
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.outerjoin(BacktestResult, BacktestResult.item_id == BacktestItem.id)
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.where(BacktestItem.run_id == run_id)
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.order_by(BacktestItem.ordinal)
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.limit(limit)
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.offset(offset)
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)
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).all()
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return jsonable_encoder(
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{
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"backtest_run_id": run_id,
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"total": run["total"],
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"limit": limit,
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"offset": offset,
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"items": [
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{
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**{
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k: getattr(i, k)
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for k in (
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"id",
|
||
"client_item_id",
|
||
"expression", "alpha_type", "selection", "combo",
|
||
"settings",
|
||
"attempt_id",
|
||
"platform_status",
|
||
"collection_status",
|
||
"persistence_status",
|
||
"simulation_id",
|
||
"alpha_id",
|
||
"error",
|
||
)
|
||
},
|
||
"result": {
|
||
"snapshot": r.snapshot,
|
||
"observed_at": r.observed_at,
|
||
"complete": r.complete,
|
||
}
|
||
if r
|
||
else None,
|
||
}
|
||
for i, r in rows
|
||
],
|
||
}
|
||
)
|
||
|
||
async def events(self, run_id, after=0, limit=100):
|
||
await self.run(run_id)
|
||
rows = (
|
||
await self.db.scalars(
|
||
select(BacktestEvent)
|
||
.where(BacktestEvent.run_id == run_id, BacktestEvent.seq > after)
|
||
.order_by(BacktestEvent.seq)
|
||
.limit(limit + 1)
|
||
)
|
||
).all()
|
||
return jsonable_encoder(
|
||
{
|
||
"items": [
|
||
{"seq": r.seq, "kind": r.kind, "payload": r.payload, "created_at": r.created_at}
|
||
for r in rows[:limit]
|
||
],
|
||
"next_cursor": rows[min(len(rows), limit) - 1].seq if rows else after,
|
||
"has_more": len(rows) > limit,
|
||
}
|
||
)
|
||
|
||
async def attempts(self, run_id):
|
||
await self.run(run_id)
|
||
rows = (
|
||
await self.db.scalars(
|
||
select(SimulationAttempt)
|
||
.where(SimulationAttempt.run_id == run_id)
|
||
.order_by(SimulationAttempt.ordinal)
|
||
)
|
||
).all()
|
||
return jsonable_encoder(
|
||
[
|
||
{
|
||
k: getattr(a, k)
|
||
for k in (
|
||
"id",
|
||
"state",
|
||
"ordinal",
|
||
"progress_url",
|
||
"remote_complete",
|
||
"children",
|
||
"error",
|
||
"error_code",
|
||
"poll_count",
|
||
"submit_count",
|
||
"next_poll_at",
|
||
)
|
||
}
|
||
for a in rows
|
||
]
|
||
)
|
||
|
||
async def control(self, run_id, body):
|
||
run = await locked_run(self.db, run_id)
|
||
if run.version != body.version:
|
||
raise HTTPException(409, "运行控制已变化，请重新确认")
|
||
attempts = (
|
||
await self.db.scalars(select(SimulationAttempt).where(SimulationAttempt.run_id == run_id))
|
||
).all()
|
||
if body.action == "recover":
|
||
for a in attempts:
|
||
if a.state in ("needs_review", "collection_failed") and a.progress_url:
|
||
if len(a.children) != len(a.payload):
|
||
# Re-enumerate missing children while retaining collected receipts/results.
|
||
a.children = []
|
||
a.state, a.poll_count, a.next_poll_at, a.error, a.error_code = (
|
||
"submitted",
|
||
0,
|
||
None,
|
||
None,
|
||
None,
|
||
)
|
||
# Recovery never clears uncertain submissions or creates a new POST.
|
||
elif body.action == "resume":
|
||
if run.control == "stopped":
|
||
raise HTTPException(409, "已停止的剩余项不能恢复，请生成重跑预览")
|
||
run.control = "active"
|
||
config = await self.db.scalar(
|
||
select(BacktestConfig).where(BacktestConfig.id == 1).with_for_update()
|
||
)
|
||
# An explicit resume may clear an indefinite quota block, never a Retry-After deadline.
|
||
if config.blocked_until is None:
|
||
config.blocked_reason = None
|
||
elif body.action == "pause":
|
||
if run.control == "stopped":
|
||
raise HTTPException(409, "该运行已经停止")
|
||
run.control = "paused"
|
||
else:
|
||
run.control = "stopped"
|
||
for a in attempts:
|
||
if a.state == "queued":
|
||
a.state = "skipped"
|
||
await self.db.execute(
|
||
update(BacktestItem)
|
||
.where(BacktestItem.attempt_id == a.id)
|
||
.values(
|
||
platform_status="skipped",
|
||
collection_status="not_required",
|
||
persistence_status="not_required",
|
||
)
|
||
)
|
||
run.version += 1
|
||
await refresh_status(self.db, run)
|
||
await event(self.db, run, "control", {"action": body.action, "control": run.control})
|
||
await self.db.flush()
|
||
return await self.run(run_id)
|
||
|
||
async def rerun(self, run_id, body):
|
||
run = await locked_run(self.db, run_id)
|
||
rows = (
|
||
await self.db.scalars(
|
||
select(BacktestItem).where(BacktestItem.run_id == run_id).order_by(BacktestItem.ordinal)
|
||
)
|
||
).all()
|
||
selected = [r for r in rows if r.id in set(body.item_ids)]
|
||
if len(selected) != len(set(body.item_ids)):
|
||
raise HTTPException(422, "重跑项不属于指定运行")
|
||
if any(r.platform_status not in ("completed", "failed", "skipped") for r in selected):
|
||
raise HTTPException(409, "仍在执行或结果未知的项须先核对，不能直接重跑")
|
||
return await self.preview(
|
||
PreviewInput(
|
||
inline=DraftInput(
|
||
name=f"{run.name[:190]} · 重跑",
|
||
source=Source.model_validate({**run.source, "parent_run_id": run.id}),
|
||
candidates=[
|
||
Candidate(
|
||
client_item_id=r.client_item_id, expression=r.expression, settings=r.settings,
|
||
alpha_type=r.alpha_type, selection=r.selection, combo=r.combo
|
||
)
|
||
for r in selected
|
||
],
|
||
)
|
||
),
|
||
preserve_source=True,
|
||
)
|
||
|
||
async def attach_reference(self, attempt_id, body):
|
||
"""Record a human-supplied original simulation; collection still verifies its input."""
|
||
a = await self.db.get(SimulationAttempt, attempt_id)
|
||
if not a:
|
||
raise HTTPException(404, "执行尝试不存在")
|
||
run = await locked_run(self.db, a.run_id)
|
||
if run.version != body.version or a.state != "needs_review" or a.progress_url:
|
||
raise HTTPException(409, "执行状态已变化或已有平台引用，请重新读取")
|
||
duplicate = await self.db.scalar(
|
||
select(SimulationAttempt.id).where(SimulationAttempt.progress_url == body.progress_url)
|
||
)
|
||
if duplicate:
|
||
raise HTTPException(409, "此模拟引用已经关联其他执行尝试")
|
||
a.progress_url, a.state, a.error, a.error_code = body.progress_url, "submitted", None, None
|
||
a.next_poll_at, a.poll_count = None, 0
|
||
run.version += 1
|
||
await self.db.execute(
|
||
update(BacktestItem)
|
||
.where(BacktestItem.attempt_id == a.id)
|
||
.values(platform_status="submitted", error=None)
|
||
)
|
||
await refresh_status(self.db, run)
|
||
await event(
|
||
self.db, run, "reference_attached", {"attempt_id": a.id, "progress_url": body.progress_url}
|
||
)
|
||
return await self.run(run.id)
|
||
|
||
async def subset(self, preview_id, body):
|
||
parent = await self.db.get(BacktestPreview, preview_id)
|
||
if not parent:
|
||
raise HTTPException(404, "预览不存在")
|
||
excluded = set(body.exclude_ids)
|
||
if not excluded.issubset({c["client_item_id"] for c in parent.candidates}):
|
||
raise HTTPException(422, "排除集合包含未知候选")
|
||
candidates = [c for c in parent.candidates if c["client_item_id"] not in excluded]
|
||
if not candidates:
|
||
raise HTTPException(422, "至少保留一条候选")
|
||
return await self.preview(
|
||
PreviewInput(inline=DraftInput(name=parent.name, source=parent.source, candidates=candidates)),
|
||
preserve_source=True,
|
||
)
|