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Disclaimer

General

The FSI Agent Governance Solutions repository provides reference implementations for educational and informational purposes only. These solutions are designed to help Financial Services organizations understand and implement governance controls for AI agents.

Nothing in this repository constitutes legal, regulatory, compliance, or professional advice. The solutions, documentation, and guidance provided:

  • Do not guarantee regulatory compliance with any specific regulation, standard, or framework
  • Do not replace the need for qualified legal counsel, compliance officers, or regulatory advisors
  • Should not be relied upon as the sole basis for compliance decisions

Regulatory References

References to specific regulations (FINRA 3110, SOX 404, GDPR, SR 11-7, OCC 2011-12, etc.) are provided for contextual purposes only. These references:

  • May not reflect the most current regulatory requirements
  • May not apply to your specific organizational context
  • Should be verified against current regulatory texts and guidance

Implementation Responsibility

Organizations deploying these solutions are solely responsible for:

  • Validating that implementations meet their specific regulatory requirements
  • Conducting appropriate testing before production deployment
  • Maintaining and updating implementations as regulations evolve
  • Engaging qualified professionals for compliance assessments

No Warranty

These solutions are provided "AS IS" without warranty of any kind, express or implied. See the MIT License for full terms.

Microsoft Platform Dependencies

These solutions depend on Microsoft Power Platform, Microsoft 365, and Azure services. Microsoft may change APIs, features, or capabilities at any time, which may affect solution functionality. The FSI Agent Governance team is not responsible for platform changes or service disruptions.