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AI Agent Governance for Financial Services

Govern Microsoft 365 AI agents with confidence — from policy to production. 78 controls, 35 live companion solutions, implementation playbooks, and regulatory mappings for Copilot Studio, Agent Builder, and custom agent deployments.

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78 Controls
4 Governance Pillars
5 Regulatory Frameworks
3 Governance Zones

FINRA · SEC · SOX · GLBA · OCC/SR 11-7

Quick Start by Role

  • Compliance Officer

    Map controls to FINRA, SEC, SOX, and GLBA requirements. Build examination-ready evidence packs.

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  • Power Platform Admin

    Deploy controls, run playbooks, and configure governance across your M365 tenant.

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  • IT Security / InfoSec

    Implement DLP, audit logging, encryption, MFA, and 29 security controls across your tenant.

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  • Examination Readiness

    Prepare for FINRA/SEC examinations with evidence standards and audit checklists.

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  • Business Owner

    Understand zone requirements and the agent approval lifecycle for your team.

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Framework Architecture

Governance Zones
Zone 1: Personal Low Risk · Self-Service
Zone 2: Team Medium Risk · Manager Approval
Zone 3: Enterprise High Risk · Committee Approval
▼
78 Controls across 4 Pillars
Security 29 Controls
Management 26 Controls
Reporting 14 Controls
SharePoint 9 Controls
▼
Regulatory Coverage
FINRA 4511/3110
SEC 17a-3/4
SOX 302/404
GLBA 501(b)
OCC 2011-12

Disclaimer

This framework is provided for informational purposes only and does not constitute legal, regulatory, or compliance advice. Organizations should consult with their legal counsel and compliance teams. See Disclaimer for full details.